Securities Law Bundle Includes:

• $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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• $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

  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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• $34

  Ethical Issues Concerning Retainer Agreements, Website Management, and Termination Letters

  Ethics Credits: 1

  This comprehensive CLE course will present the many issues involved in engaging clients through Engagement Letters. The course will address how to create effective Engagement Letters as well as developing and maintaining firm websites for the purpose of minimizing potential representation risks...

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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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• $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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• $29

  No One Makes It Out Unscathed: The Effects of Trauma, Stress and Burnout On Our Lives

  General Credits: 1

  Stress is a component of any attorneys’ day to day life. And ignoring it won’t make it go away. Shrug it off and the results can be catastrophic for you, your family and your business. Trauma, less discussed but not rarer, also requires immediate attention. Whether it is a direct trauma such as a p...

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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

  Communications Compliance: Current Developments

  General Credits: 1

  Designed to address current communications compliance and marketing practices, this informative CLE course will offer guidance on how FINRA’s communication rules are applicable in virtual environments, particularly regarding ESG and other investment trends. The course will explain the regulator...

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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 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

  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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