Securities Law Bundle Includes:

• $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

  Variable Products & Retirement Planning

  General Credits: 1

  Presented by FINRA staff and industry practitioners, this CLE course will explain variable and retirement planning productions including how to create a variable product communication with respect to content and performance. Select topics such as supplemental hypothetical illustrations, compari...

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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: 1.75

  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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• $34

  Staying Safe and Sound: Maintaining a Realistic Work/Life Balance in Uncertain Times

  Mental Health/Abuse Credits: 1

  With messages about COVID-related issues still flooding your inbox, broadcast on tv and argued over on social media, you are at an increased likelihood for anxiety, stress, fear, and negative thoughts. Amongst the many concerns are concerns about being in crowds, whether to get another vaccine boos...

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• $29

  Market Structure: What Factors Are Driving Changes

  General Credits: 1

  This CLE course will present the newest developments and trends in the industry. Presented by FINRA staff and industry practitioners, the course will offer tips and strategies for execution guidance and issues related to payment for order flow. Effective practices for reviewing and documenting...

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• $34

  In the Beginning... and Before: Ethical Considerations at the Outset of Representation

  Ethics Credits: 1

  This two part CLE course will address the professional responsibilities that attorneys have prior to representing clients. The course will begin with solicitation and barratry including practices such as ambulance chasing as well as conduct, consequences, enforcement and other rules of professi...

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• $65

  Mediation Ethics for Mediators and Mediation Advocates

  Ethics Credits: 1.5

  As with all areas of law, the ethical rules that apply to mediation can be complex. This CLE course will assist both mediation advocates and third-party neutrals in understanding and working within these standards. The course will offer a review of the Model Standards that were designed and are...

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• $34

  Legal Ethics and the Mediation Process

  Ethics Credits: 1

  Alternative Dispute Resolution (ADR) has grown a great deal over the past 10 years, particularly in the area of mediation. This process, however, is one that many counsel lack familiarity with. This CLE course, presented by Judge Scheinkman, will explain the importance of ethical consideration...

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• $34

  Legal Ethics: Reasonableness of Fees

  Ethics Credits: 1

  Compliance with ethics rules are a requirement for all firms and it is typically someone’s responsibility to ensure that compliance whether it’s an ethics committee, sole employee, or a shared responsibility amongst all attorneys. Regardless of how it is handled, ethics are the responsibility o...

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• $34

  Handling Current Legal Ethical Issues

  Ethics Credits: 1.25

  Remote work became the norm during COVID-19 and with it many practical issues arose, particularly for attorneys. This CLE course will address some of those issues particularly with regards to discussing personal legal matters with work employees. The course will present examples of attorneys ac...

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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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• $55

  Cryptomorphing The Legal Profession: Musings From A Stacker In The Rye

  General Credits: 1.5

  Blockchain technology and cryptocurrency is a complicated area with a far-reaching impact on the legal profession. This CLE course will explore topics from the acceptance of cryptocurrency as payment for legal services to cryptocurrency and blockchain technology’s impact on payment systems’ securit...

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• $34

  Diversity and Race in Jury Selection

  Diversity/Inclusion 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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• $34

  To Prosecute or Not To Prosecute? Analyzing Ethical Rules Telling Prosecutors When and How They Can Do Their Job

  Ethics Credits: 1

  Whether and how to prosecute a case is not an open and shut issue. This CLE course will present prosecutors with the rules which limit the possibility of prosecuting certain cases as well as the guidelines for how they can and should be prosecuted. But this course does not only apply to prosecu...

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• $29

  Building a Successful Solo Mergers and Acquisitions Practice

  General Credits: 1.25

  This informative CLE course will present the various tools that all successful merger and acquisition practices should have. The course will review the use of flowcharts and checklists as well as offer practice tips, client management strategies and software recommendations.

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• $29

  Cyber Security Compliance Trifecta: Recent Revisions to Three Important Security & Privacy Standards

  General Credits: 1

  Both large and small companies have been faced with increasing cybersecurity compliance concerns. This informative CLE course will review the standards and requirements revisions published recently, which have broad implications for cybersecurity compliance. These include the Spec. Pub 800-53 (...

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• $29

  Brokers With a Significant History of Misconduct

  General Credits: 1

  Hiring and retaining brokers with a history of misconduct is a risky business. This CLE course will present the new rules concerning brokers with histories of misconduct and will help you understand changes to rule 9200 and 9556. The course will address the heightened supervisory procedures req...

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• $29

  Cryptocurrency and the Blockchain: Understanding the Landscape of Legal Issues and Offerings

  General Credits: 1

  Cryptocurrencies and blockchain technology are sources of tremendous confusion, particularly given the recent market upheavals and drastic swings in their value. Whether cryptocurrency and blockchain technology are a fading fad or the beginning of a new direction in currency has yet to be deter...

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• $29

  Challenges Facing Firms in Monitoring AML and Protecting Against Fraudulent Activities

  General Credits: 1

  There are many inherent challenges facing firms in monitoring and protecting against fraudulent activity. This CLE course, presented by FINRA staff and industry panelists, will offer examples of the controls that their firms have effectively put into place in order to address the rising AML risks....

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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

  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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• $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

  Exempt Offerings

  General Credits: 1

  Designed to address industry and regulatory developments related to Reg D and Reg A+ offerings, this CLE course will address recent regulatory findings and common concerns. The course will also offer practical information and best practices for firms offering these products to retail investors. A d...

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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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• $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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