Securities Law Bundle Includes:

• $29

  Common Issues with Navigating the Changing Landscape of Multistate Taxation of Crypto Currency & Crypto Based Companies

  General Credits: 1

  State Taxation varies across US states. The State and Local Tax (SALT) levels in particular are different for every jurisdiction with their own tax code and tax treatment for different types of applications. For example, the revenue from a particular company is classified in California may vary wid...

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• $34

  Ethical Duties When Representing Clients and Working on Client Files

  Ethics Credits: 1

  There are many ethical considerations and Bar rules to consider when determining whether to take on a client. This CLE course will explain those rules and considerations as they apply to taking on a client, continuing representation, and/or termination – as well as the possibilities in between....

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• $29

  Modernizing Off-Channel Communications Supervision

  General Credits: 1

  Join our panelists as they share insights from thematic reviews of off-channel communications, including text messages and social media platforms. Discover effective techniques firms are using to oversee their communications. This session will cover: The communications landscape Rule requirement...

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• $29

  Promoting Market Integrity: FINRA’s Role in Market Structure

  General Credits: 1

  Gain insights from regulatory and industry experts on FINRA’s efforts to uphold market integrity and the impact of new and evolving regulations. This CLE program will cover: New and emerging rules SEC market structure proposals Securities lending practices Transparency initiatives shaping the marke...

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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

  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

  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

  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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• $55

  Wiretaps 101: Defending Your Client in Wiretap Cases

  General Credits: 2

  Are you new to wiretaps or unfamiliar with how they work in legal cases? This CLE course provides a comprehensive introduction to wiretaps and equips you with the tools to effectively defend your client when a wiretap is involved. Explore the history of wiretaps and the evolution of modern case...

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• $65

  Selective Ethics in Litigation from the Plaintiff's Perspective

  Ethics Credits: 1.6

  Attorneys handling litigated matters must navigate a complex web of ethical rules while vigorously representing their clients. This CLE course will provide a comprehensive examination of the ethical limitations and responsibilities that shape legal advocacy, ensuring that counsel remains within pro...

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• $55

  Asset Protection Strategy: Advantages and Pitfalls of Using Trusts, LLC's and other Techniques

  General Credits: 2

  This CLE program offers a comprehensive overview of asset protection strategies. Participants will explore how traditional estate planning tools can shield assets from creditors. Topics include the protection provided by tenants by the entirety ownership, life insurance and annuities, retirement ac...

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• $34

  Cybersecurity, Data Protection and AI Ethics: Identifying and Avoiding Common Pitfalls

  Ethics Credits: 1

  This CLE course delves into the current cybersecurity risk landscape, focusing on the ABA Model Rules regarding competency. It addresses the impact of technology on the security and privacy of client communications, information management, billing processes, and the oversight of law firm staff. The...

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• $29

  Navigating Healthcare Compliance: Key Takeaways from Recent OIG and DOJ Guidance

  General Credits: 1

  Recent updates from the Office of Inspector General (OIG) and the Department of Justice (DOJ) have reshaped the compliance landscape for healthcare entities. This course provides an in-depth look at OIG’s General Compliance Program Guidance (GCPG) and its industry-specific recommendations, includin...

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• $29

  Hot Topics in Municipal Securities and Other Fixed Income

  General Credits: 1

  During this CLE program, a wide range of essential aspects pertaining to fixed income securities will be covered. This includes examination priorities, common findings, and enforcement actions, as well as rulemaking specific to the fixed-income market. An update on SEC Rule 15c2-11 will also be pro...

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• $55

  Top 10 Lease Mistakes & Pitfalls and How to Steer Clear of Them

  General Credits: 1.5

  This CLE course will explain commercial real estate leasing and offer a comprehensive review of the most common mistakes made by those who draft and review leases of this type. The course is primarily geared towards landlords and helping them to avoid major pitfalls, but will also address a var...

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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

  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

  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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• $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

  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

  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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• $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

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

  General Credits: 1.1

  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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• $29

  Anti-Money Laundering Compliance: It's Growing, So Make Sure Your Clients are Covered

  General Credits: 1.3

  The Anti-Money Laundering (AML) and Counter-Terrorist Financing (CTF) legislative regime underwent sweeping changes because of the passage of the Anti-Money Laundering Act of 2020 (“AMLA”). This informative CLE course will examine who is covered and address potential questions and answers to t...

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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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• $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

  Legal Research in the AI Era

  General Credits: 1

  AI has been with us since as far back as 1951. Since that time, the advances in AI pertaining to legal research have been noticeable, but typically small. That was true until November 2022, when the large language model (LLM), ChatGPT, was released. Since then, products have been released at a reco...

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• $29

  Emerging Developments in Artificial Intelligence for Lawyers

  General 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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• $65

  Ethical Issues in Pro Bono Representation

  Ethics Credits: 1.5

  This CLE course explores the ethical challenges that attorneys may face when providing legal services on a pro bono basis. Grounded in the ABA Model Rules of Professional Conduct, the course focuses on key rules relevant to typical pro bono scenarios, offering guidance on how attorneys can identify...

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• $34

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

  Ethics 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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• $65

  Navigating AI Ethics and Detection: Insights for Lawyers and Legal Professionals

  General Credits: 1

  Ethics Credits: 1

  Generative AI has changed the landscape for virtually every business and industry. This CLE course will offer attorneys a solid background of the ethical standards in the legal industry with respect to AI as it stands in March 2024. Given the dynamic nature of the issue, it’s important to take tha...

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