Securities Law Bundle Includes:

• $29

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

  General Credits: 1.1

  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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• $34

  Handling Current Legal Ethical Issues

  Ethics Credits: 1.3

  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

  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

  What Happens To Your Practice If You Die Or Become Disabled

  Ethics Credits: 1.2

  No one wants to think about the possibility of tragedy but that doesn’t mean it doesn’t exist. What will happen to your practice if you become disabled or pass away? Have you dealt with the practicalities? This CLE course will offer preventative steps to ethically comply with client obligations...

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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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• $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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• $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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• $55

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

  General Credits: 1.8

  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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• $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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• $55

  Current Communications with the Public Regulatory Issues

  General Credits: 1.5

  This CLE course offers an in-depth discussion on current communications with public regulatory issues. Presented by FINRA and SEC staff, the course will include a discussion of the new Investment Advisers Act Marketing Rule. The course will address recent communications proposals and rule change...

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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

  Advertising Compliance: Fundamentals of FINRA Rule 2210

  General Credits: 1

  Whether you are new to FINRA’s advertising rules or an experienced practitioner looking for a refresher course, this informative CLE course, presented by a panel of FINRA professionals, offers a comprehensive overview of FINRA’s Communications With the Public rule. The course will include filin...

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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

  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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• $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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• $29

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

  General Credits: 1.1

  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

  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

  Bitcoin: Time For Lawyers To Take A Byte

  General Credits: 1.1

  With the emergence of blockchain technology, the Internet of Value has replaced the Internet of Information and the Internet of Things. It has thoroughly transformed our economic system with cryptocurrency being the hottest topic in financial news. The ethical issues involved however, have bare...

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• $55

  Setting Up Your Securities Clients For Success

  General Credits: 2

  Legal counsel will typically evaluate Exempt Offering Documents on legal grounds, ignoring the option of considering how offerings can be best articulated from the underwriting perspective. This CLE course will offer tips on how to approach securities documentation from the standpoint of underw...

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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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• $29

  Building a Successful Solo Mergers and Acquisitions Practice

  General Credits: 1.3

  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

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

  General Credits: 1.1

  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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• $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

  Hot Topics in FinTech

  General Credits: 1

  FinTech (Financial Technology) is a dynamic, growing industry that seems to have been on fast-forward in recent years. This CLE course, presented by FINRA staff and industry practitioners, will explain how FinTech is defined by various stakeholders in the industry as well as new, innovative ways th...

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• $29

  Consolidated Audit Trail

  General Credits: 1

  Preparing for compliance with the consolidated audit trail (CAT) requires knowledge and strategy. This CLE course will explain preparation techniques including deadlines, resources and firm obligations. The course will announce key dates in the near future as well as resources available to help...

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• $29

  Gamification, Mobile Apps and Digital Engagement

  General Credits: 1

  This CLE course will offer insights into the increasingly dynamic world of digital engagement practices including broker dealers’ mobile apps, gamification, marketing and online platforms. The course will explain how regulatory and compliance experts are addressing the rising use of data analyt...

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• $29

  Restricted Firm Obligations: What You Need to Know

  General Credits: 1

  Rule 4111 (Restricted Firm Obligations) went into effect recently, and creates new obligations and criteria for identification. This CLE course features FINRA staff as they present the new obligations under Rule 4111 as well as identify controls, processes and procedures that member firms have begu...

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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

  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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• $29

  Senior and At-Risk Investors

  General Credits: 1

  Seniors and Vulnerable Adults often fall under the wire. This CLE course will explain how FINRA rules and state requirements address this population, enabling firms to better address this increasingly growing client base and protect your organization. Presented by FINRA staff and industry exper...

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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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