Securities Law Bundle Includes:

• $34

  Ethics in the Digital Era: What Attorneys Need to Know

  Ethics Credits: 1

  Data breaches are becoming increasingly common, posing a great challenge to law firms. Between the Ethical Rules of Conduct, your individual state’s regulations on professional conduct and the potential for financial and other penalties, it’s critical to recognize and take steps to prevent as well...

  Preview
• $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...

  Preview
• $29

  Compliance and Legal Trends

  General Credits: 1

  This CLE program will delve into the emerging trends, pivotal focus areas, and strategic initiatives that are currently shaping the landscape. Gain valuable insights from the panelists as they analyze the impact of these transformative changes on compliance practices. Discover how organizations are...

  Preview
• $29

  Current Issues Under Regulation Best Interest and Form CRS

  General Credits: 1

  A dynamic forum brings together regulators and industry practitioners, fostering discussions that encompass a wide range of current topics and valuable lessons derived from experiences with Reg BI (Regulation Best Interest) and Form CRS (Customer Relationship Summary). These exchanges of insights d...

  Preview
• $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...

  Preview
• $29

  Capital Formation: Current Regulatory Landscape and Challenges

  General Credits: 1

  Join us for an informative session where you can expand your knowledge on the regulatory landscape, potential challenges, and available resources for firms in the context of capital formation. In this CLE program, we will cover the following topics: Exploring the current regulatory landscape Ex...

  Preview
• $29

  The Firm Perspective on Monitoring and Protecting Against Financial Crimes

  General Credits: 1

  Don't miss this session covering financial crimes from a firms' perspective. This CLE session will cover a wide range of tactics, red flags, and mitigation strategies associated with fraud, insider trading, cybersecurity, and money laundering. Key topics include: Effective practices and control...

  Preview
• $29

  Navigating the SEC and CFTC Whistleblowing Programs

  General Credits: 1

  Whistleblower programs are not a particularly well known or understood feature of the various entities which have them, including the SEC, IRS and CFTC. This CLE course will present an overview of these programs including eligibility, anonymity and the whistleblower process. The course will review...

  Preview
• $29

  Market Regulation and Transparency Services Priorities: What You Need to Know

  General Credits: 1

  Join us for an engaging session where FINRA staff will provide comprehensive insights into the latest updates on market regulation and transparency priorities concerning equities, options, and fixed income compliance programs. During this session, our esteemed panelists will discuss the followin...

  Preview
• $55

  The Case Against Tipper X

  General Credits: 1.5

  On what he thought was a typical workday in New York City, Tom Hardin woke up, went to the gym and ran a few errands on the way to the office. And on his way, two FBI agents suddenly appeared, publicly flashed their badges and began questioning him about his job. Tom was shocked and confused an...

  Preview
• $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...

  Preview