Securities Law Bundle Includes:

• $34

  Diversity & Inclusion: Recognizing the Damaging Effects of Implicit Bias in the Workplace

  Implicit Bias Credits: 1

  Implicit bias, increasingly studied and discussed, involves subconscious associations our minds create linking various concepts and ideas. These biases arise from our experiences, cultural backgrounds, societal norms, media influences, and other factors. This CLE program explores the nature of...

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• $34

  Mindfulness for Attorneys: Emotional Wellness & Well-Being

  Wellness Credits: 1

  This thought-provoking CLE will explore mental well-being within the legal profession as we spotlight personal narratives of burnout, recovery, and the challenges associated with mental health. Rooted in authentic experiences, this program provides tangible strategies to navigate stress and attain...

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• $29

  Fixed Income Securities Regulatory Outlook

  General Credits: 1

  This CLE session will delve into the most recent regulatory developments impacting fixed income and municipal securities. This comprehensive session will cover crucial topics such as Time of Trade disclosures, updates to SEA Rule 15c2-11, and critical insights for firms navigating examination prior...

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• $29

  Ask FINRA Senior Leaders

  General Credits: 1

  In this CLE session, senior staff from FINRA will provide crucial updates on current regulatory issues and initiatives. Join us as expert panelists delve into FINRA's risk-based examination program, recent disciplinary actions, market regulation programs, and the latest and forthcoming rules. Th...

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• $29

  FINRA's Disciplinary Hearing Process

  General Credits: 1

  This CLE course features perspectives from FINRA Enforcement counsel, defense counsel, and a hearing panelist. The course aims to enhance your understanding of FINRA's disciplinary hearing process, focusing on the key differences between self-regulated hearings and those conducted by administrative...

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• $29

  Technology Governance: Mitigating Risk Throughout the Vendor Lifecycle

  General Credits: 1

  This CLE course delves into essential considerations for firms outsourcing activities or functions to third-party providers. Learn from panelists about mitigating vendor risk through robust technology governance programs that cover the entire vendor engagement lifecycle, from onboarding and ongoing...

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• $29

  Developments in Remote Supervision

  General Credits: 1

  This CLE course will delve into the newest advancements in remote supervision, featuring insights on the remote inspection pilot program, updated supervision rules for Residential Supervisory Locations, and best practices for risk-based supervision. Key topics include: Transitioning from curre...

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• $29

  The Latest in Private Placement Sales Oversight

  General Credits: 1

  Stay informed about regulatory developments, compliance obligations, and best practices for selling private placements. This CLE session will cover: An overview of regulatory updates and compliance obligations related to private placements Effective practices for adhering to Regulation Best In...

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• $34

  Telling Them What They Don’t Want to Hear: Maintaining Your Ethics and Your Client Relationships

  Ethics Credits: 1.25

  This CLE course explores the interplay of ethical and relationship issues when communicating difficult topics to clients. These topics include: situations where plans go awry; admitting mistakes; addressing clients' bad ideas; expressing disbelief in clients' statements; handling requests for...

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• $34

  The Effects of Trauma and Compassion Fatigue on the Lawyer Who Cares

  Competence Issues Credits: 1

  While lawyers tend to get a bad rap, many are attracted to the legal profession because they care about people and genuinely want to help them. And they live stressful lives as a result, many working incredibly long hours and unable to take a break lest they disappoint their clients. Beyond the typ...

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• $34

  Emerging Developments in Artificial Intelligence for Lawyers

  Technology Credits: 1

  Artificial Intelligence has become an integral part of the legal landscape, with a constant influx of new tools and providers. It is imperative for legal professionals to grasp the intricacies of AI to adeptly advocate for their clients and remain competitive. This CLE course delves into essential...

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• $29

  The State Of The Art of Investment Advisor Regulations

  General Credits: 1

  This CLE course provides practical guidance for investment advisers following the Fifth Circuit's decision to vacate the SEC's latest Private Investment Adviser regulations. We will explore the reasons behind the SEC's decision not to appeal and the resulting implications. The course will also...

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• $29

  Financial Crimes: Outpacing the Threats

  General Credits: 1

  In today's rapidly evolving financial landscape, the threat of financial crimes is ever-present and increasingly sophisticated. This CLE course delves into the latest trends and emerging tactics in financial crime, including fraud, money laundering, and cybercrime. Through a combination of theoreti...

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• $29

  Compliance and Legal Trends in The Financial Industry

  General Credits: 1

  Join leading experts from member firms as they explore the latest trends and strategic priorities shaping the legal and compliance landscape. In this dynamic CLE session, our panelists will share their invaluable insights on how evolving business, regulatory, and technological changes are transform...

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• $29

  Crypto Assets: Trends, Regulatory Developments and Resources

  General Credits: 1

  Dive into the latest updates in cryptocurrency regulation in this insightful CLE session. We'll cover a range of critical topics, including the recent crypto-assets retail communications initiative, emerging trends in crypto misconduct, and practical resources for navigating the evolving landscape....

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• $34

  Moving Forward with DEI Compliance

  Elimination Bias Credits: 1.25

  Delve into the profound ways bias permeates the legal profession with this vital CLE session, crafted for attorneys eager to tackle its challenges. This program sheds light on the subtle and overt effects of bias on legal practice, from courtroom decisions to office culture, against the backdrop of...

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• $29

  Conflicts of Interest in the Financial Services Industry: What Every Attorney Needs to Know

  General Credits: 1

  Referring clients to financial advisers carries some degree of risk. Attorneys need to be knowledgeable about the regulatory framework that distinguishes financial advisers, particularly given the 2020 disclosure documents (Form CRS). This CLE course will explain the regulation of financial ad...

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• $29

  Crowdfunding Capital Raises: Considerations for Broker-Dealers & Funding Portals

  General Credits: 1

  Join our expert panel for a deep dive into Regulation Crowdfunding (Regulation CF) and its impact on broker-dealers and funding portals. This CLE session will provide valuable insights into regulatory risks and best practices for maintaining compliance. Key discussion points include: Regulatio...

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• $29

  The Progression of Regulation Best Interest and Form CRS

  General Credits: 1

  This CLE program will explore recent observations on firms' compliance with Regulation Best Interest (Reg BI) and Form CRS. The discussion will provide valuable insights and practical guidance on key topics such as Reasonably Available Alternatives, the Care Obligation, and managing Conflicts of In...

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• $34

  The Rise of The Machines: A Lawyer's Guide to Avoiding Legal Extinction

  Technology Credits: 1

  Designed for both novice and seasoned attorneys alike, this CLE course will offer a basic overview to the ways in which Artificial Intelligence (AI) can transform legal tasks. Participants will be given the knowledge and perspective needed to successfully integrate AI into their work successfully,...

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• $65

  ABA Model Rules Of Professional Conduct and AI Ethics: Key Highlights of the New Challenges Facing Attorney Compliance

  Ethics Credits: 1.5

  In this CLE session, we will explore the significant ethical considerations that arise when practicing law in tandem with AI, which often operates without the structured ethical foundation that governs human professionals. This CLE is tailored specifically for lawyers, beginning with a straightf...

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• $65

  The Nuts and Bolts of Ethics: No Nonsense

  Ethics Credits: 2

  Ethical values may change with the times, but the concept of ethics in business has been around for a long time. This CLE course will explore the origins of ethics and how ethical obligations continue to impact what is considered honorable behavior amongst attorneys today. The course will address t...

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• $34

  Attorney Ethics, Civility and Professionalism

  Civility Credits: 1

  The obligations on attorneys, as defined by the professional code of ethics and rules of conduct, often do not help attorneys deal with day-to-day interactions with colleagues and clients. Often, even though we know the rules, our actions and behaviors are guided by our feelings in a moment instead...

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