Securities Law Bundle Includes:

• $29

  RegTech in Advertising and Compliance and Beyond

  General Credits: 1

  Regulatory Technology or RegTech has become the newest greatest development in regulatory compliance. This CLE course will explain the technological innovations being applies to creating efficient, effective risk-based compliance programs for communications with the public. How these tools are help...

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• $29

  FINRA’s Suitability Rule and SEC’s Proposed Regulation Best Interest

  General Credits: 1

  This CLE course will provide practical advice on how firms and registered representatives can better assess customers and securities in order to comply with suitability obligations as set down by FINRA Suitability Rule 2111 and the SEC’s Proposed Regulation Best Interest Rule. The course will expla...

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• $29

  Reviewing Recent Enforcement and Regulatory Actions to Manage AML Risks

  General Credits: 1

  Assessment of AML programs for potential pitfalls and vulnerability is critical for firms. This CLE course, presented by FINRA staff and industry experts, will explain regulatory trends and enforcement actions including those by the SEC and other agencies and criminal and governmental authorities....

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• $29

  High-Risk Activity Impacting Retail Investors

  General Credits: 1

  Risk evaluation is critical in assessing potential liability. This CLE course, presented by FINRA staff, will provide the necessary insight to identify and assess high risk activity amongst representatives. The course will explain how that risk can be mitigated as early as the hiring process, includ...

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• $29

  Enforcement Initiatives, Developments and Priorities: 2019-2020 Update

  General Credits: 1

  Enforcement trends and developments, priorities and principles that determine decision-making will all be discussed in this illustrative CLE course which utilizes real-life cases as examples. The course will provide guidance on compliance and regulatory practices and how to navigate enforcement inv...

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• $65

  Litigation Ethics Summit: I Walk the Line

  Ethics Credits: 1.75

  Ethical guidelines are straightforward in principle, but when they need to apply to real-world litigation, it can become more complicated. Between the pressure applied by clients and that of the myriad malpractice cases compounded by the quick responses required by modern technology, it’s critical t...

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• $29

  Mark-Up Disclosure Requirements

  General Credits: 1

  With a focus on FINRA and MSRB mark-up disclosure requirements, this advanced CLE course will review securities covered by the rule and how to calculate mark-ups on the basis of the prevailing market price. Effective practices and tips as well as indicators for when disclosure requirements are trigg...

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• $65

  Professionalism in High Stakes Litigation

  Ethics Credits: 1.5

  High-stakes litigation can often change the rules of the game. When the situation gets heated, attorneys may find their professional ethics at risk as an opponent’s advocacy of their client’s interest leads to obstructive behavior. This CLE course will teach attorneys how to address and maintain th...

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• $29

  Common Examination Findings for Institutional Firms: 2019-2020 Update

  General Credits: 1

  Institutional business activities require supervisory controls in order to mitigate a variety of risks. This CLE course will explain the primary regulations and recommended strategies for implementing these controls as well as managing tools. The course will explain how to implement the debt resear...

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• $29

  How FINRA Rules Get Made, Reviewed and Updated

  General Credits: 1

  How a rule becomes a regulation and other fascinating insights into the FINRA Retrospective Rule Review process will be presented in this comprehensive CLE course. The course will explain upcoming rule changes, regulatory initiatives and how the advisory committees are used in this regard. Providi...

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• $29

  Complex Products and Alternative Investments

  General Credits: 1

  The sale of alternative investments include no small amount of due diligence obligations and effective practices. These include, but are not limited to, Private Placements, Regulation A+, Online Distribution Platforms, Opportunity Zone Funds Finders, Real Estate Investment Trusts, Blind Pools and C...

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