Securities Law Bundle Includes:

• $34

  Implicit Bias: “I’m Not Like You…Except That I Am”

  Implicit Bias Credits: 1

  Presented by a trial lawyer, mediator and life coach, this informative CLE course will address why human beings tend to judge and categorize other humans and demystify their perceived need to do so. The course will then dovetail with the topic of bias and prejudice elimination and how that fits...

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• $29

  Hot Topics in Municipal Securities and Other Fixed Income

  General Credits: 1

  There have been a variety of recent enforcement actions related to municipal securities (e.g. 529 Plans, municipal short positions), fixed-income related rulemaking, examination priorities and other typical problems that are revealed during Member Supervision and Market Regulations reviews. Thi...

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• $29

  Conflicts of Interest in Capital Markets and Investment Banking

  General Credits: 1

  Conflicts of interest in capital markets and investment banking firms are more and more common. This CLE course will offer useful and effective tips and strategies for managing these conflicts from how to raise concerns to how to find remedies when conflicts arise. The course will present metho...

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• $34

  Navigating the Future: Embracing AI's Impact on the Legal Profession for Lawyers with a Strategic Mindset

  Technology Credits: 1.25

  ChatGPT is now a part of our everyday lives and its ability to write our papers, do our research and even pass the Uniform Bar Exam has exceeded all expectations. In fact, experts are predicting that generative AI will eventually replace practicing attorneys. This CLE course will address pressi...

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• $34

  No One Makes It Out Unscathed: The Effects of Trauma, Stress and Burnout On Our Lives

  Wellness Credits: 1

  Stress is a component of any attorneys’ day to day life. And ignoring it won’t make it go away. Shrug it off and the results can be catastrophic for you, your family and your business. Trauma, less discussed but not rarer, also requires immediate attention. Whether it is a direct trauma such as a p...

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• $34

  Ethics in Modern Day Legal Practice: The Current Hot Ethical Topics Found in Client Grievances and Malpractice Suits

  Ethics Credits: 1

  Ethical issues are constantly evolving and modern day legal practices need to stay current. This informative CLE course will address the latest trends in ethics with a particular focus on the rules that govern attorney conduct. The course will explore how the rules apply to an ever-changing landsca...

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• $34

  Virtual Isolation: Is Hyperconnectivity Helping or Harming the Legal Professional?

  Competence Issues Credits: 1

  Modern technology has taken over our lives in ways we couldn’t have possibly anticipated. Smartphones have replaced colleagues, friends and family as our most constant companions. However, like many things, their contributions to our lives comes at a price including the risk of dependence, addictio...

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• $55

  Overhaul of Regulatory Capital Requirements Proposed By US Banking Regulators

  General Credits: 1.5

  This CLE course will examine the new, and fairly extensive, list of revisions to the regulatory capital requirements for both large and midsize banking organizations which were jointly proposed by US federal banking regulators. The revisions, which are quite lengthy, would seriously alter the requi...

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• $29

  Form CRS: Practical Considerations for Attorneys

  General Credits: 1

  A CRS is a new, 2-4 page disclosure document that SEC-regulated firms are required to deliver to their clients. Adopted to help investors understand the various standards of care that apply to their financial professionals (investment advisers vs. broker-dealers vs. dual registrants), as well as po...

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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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• $29

  Digital Communications and Social Media

  General Credits: 1

  With digital marketing rapidly changing, how do firms remain in compliance? How do we communicate relevant, meaningful information in this dynamic digital age? This CLE course will explain the challenges being faced by industry and regulatory experts and how they are successfully addressing these c...

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• $29

  Cyber Security and Cyber Breach: What Lawyers and Their Law Firms Need to Know Now

  General Credits: 1

  This CLE program will explore the issues surrounding cyber security, the potential consequences of a cyber breach, and the ethical considerations that accompany such an event. With over 50 state laws in the United States concerning data privacy and security, companies must understand what legal and...

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• $29

  Investment Companies Current Topics

  General Credits: 1

  This CLE course will address a variety of advertising compliance issues concerning registered investment companies. These may include mutual funds, ETFs and closed-end funds. FINRA staff and industry experts will present the compliance challenges related to complex products such as single stock ET...

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• $55

  Due Diligence Under The 33 Act: Avoid Disasters in the Middle of an IPO

  General Credits: 1.5

  This CLE course will offer a comprehensive overview of what lawyers and bankers confront during the marketing and distribution process of IPO’s. The course will address potential pitfalls and issues that may arise and provide real-life examples of the many hurdles that could potentially jeopard...

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• $29

  Fintech Firms: Communications Compliance Topics

  General Credits: 1

  This CLE course presents the insights of FINRA staff and industry panelists on the challenges and effective practices of communications compliance for Fintech-focused firms. The course will cover topics such as mobile applications, integrated product offerings, digital engagement practices, and...

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• $29

  Back to the Future in Fixed Income Investing? Navigating a Changing Landscape in Municipal and Fixed Income Securities

  General Credits: 1

  This CLE course will address the most common content standards between FINRA Rule 2210 and MSRB Rule G-21 as well as their primary differences. The course will offer tips and strategies on creating compliant municipal securities communications and considerations for more complex debt instruments....

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• $29

  Oh How the Mighty Have Fallen: Crypto and the Federal Securities and Commodities Laws

  General Credits: 1

  With the fall of FTX and the dream of cryptocurrency, the intersection between it and federal and security commodities becomes both fascinating and highly relevant. And as per the title of this session, has taken on Biblical proportions (see Samuel 2, 1:19). This riveting CLE course will prese...

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• $55

  Managing Your Client’s Series A Offering of Securities: A Step by Step Guide

  General Credits: 1.5

  Before a start-up or early stage company is ready for its first round of venture capital, known as a Series A Round or Series A Offering, it typically goes through a number of informal financing rounds. To that end, companies will turn to founders, friends and even family members. If it’s successfu...

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• $29

  Social Media and the Rise of the Finfluencers

  General Credits: 1

  COVID-19 has dramatically altered the way we behave, some think for good. These changes impact all industries, including the financial services industry, where the rapid increase in digital adoption has changes the way we engage with one another and with our clients. This CLE course, presented...

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• $34

  The Ethics and Art of Settlement at Mediation

  Ethics Credits: 1

  Mediation has many benefits both for attorneys and for their clients. This informative CLE course will present the ways in which attorneys may benefit from the mediation process including in presentation, psychology, and strategies that will better your chances of success. The course will also...

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• $65

  Legal Ethics: Dos and Don’ts for Attorney Advertising

  Ethics Credits: 2

  Marketing yourself as a lawyer can create confusing ethical dilemmas. This CLE course will address the correct balance of advertising, social media and video and client engagement used to grow your practice. The course will differentiate between advertisements and solicitations and explain the...

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• $34

  Diversity and Race in Jury Selection

  Elimination Bias Credits: 1.25

  This fascinating CLE course will look at jury selection from the historical lens of diversity and race. The course will examine how the “all white juries” of the past resulted in infamous miscarriages of justice and how the Supreme Court has addressed the racial discrimination in jury selection goi...

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