Securities Law Bundle Includes:

• $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

  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 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

  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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• $65

  Selective Ethics in Litigation from the Plaintiff's Perspective

  Attorney Conduct Credits: 1.5

  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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• $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

  Clarity Above All Things: Writing Briefs That Can Actually Be Understood

  General Credits: 1

  This CLE course is designed to help attorneys master the art of clear and effective brief writing. Emphasizing readability and precision, the program focuses on techniques to craft briefs that are not only persuasive but also accessible to diverse audiences, including judges, clients, and colleague...

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• $34

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

  Attorney Conduct 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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• $55

  The ABCs of MSOs: How and Why to Form a Compliant Lasting and Profitable Management Services Organization

  General Credits: 1.5

  This CLE course offers a deep dive into Management Services Organizations (MSOs) and their pivotal role in the healthcare industry. Participants will gain a thorough understanding of MSOs, including their definition, purpose, structure, and function. The program addresses vital legal compliance...

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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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• $55

  Artificial Intelligence as Evidence: Discoverability, Use, Admissibility of Algorithmic & Digital Evidence

  General Credits: 1.5

  Discussions about artificial intelligence in the legal field often focus on its potential to streamline workflows and boost efficiency. However, AI can also be a critical factor in litigation—not as a tool, but as evidence. This CLE program examines how artificial intelligence fits into the evident...

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• $34

  Pause, Breathe, Lead: Mindfulness for the Modern Lawyer

  Attorney Conduct Credits: 1

  This CLE program introduces attorneys to the concept of mindfulness and its “attitudinal foundations.” Participants will examine evidence-based research showing how mindfulness can reduce stress, alleviate anxiety, and enhance presence in the moment. The session includes a guided mindfulness me...

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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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• $55

  The Power of Pixels: Enhancing Summations Through Technology

  General Credits: 1.5

  In an era dominated by technology, clinging to traditional summation approaches puts you at a disadvantage. Digital evidence, advanced courtroom tech, and discerning jurors demand a modern edge. This CLE program equips you to create impactful digital presentations for summations, exploring lega...

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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

  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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• $34

  Recognizing and Handling Conflicts of Interest

  Attorney Conduct Credits: 1

  Effectively managing conflicts of interest is a crucial aspect of legal ethics, and this course will provide attorneys with the necessary tools to navigate these challenges. The session will cover key considerations for identifying and addressing conflicts, including methods for conflict screening...

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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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• $34

  Ethical Mediation: Principles and Practices in Dispute Resolution

  Attorney Conduct Credits: 1

  Over the past decade, Alternative Dispute Resolution (ADR), particularly mediation, has seen a significant rise in use. Despite this, many legal professionals remain unfamiliar with the nuances of the process. In this course, Judge Scheinkman will explore the critical role of ethical considerations...

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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

  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

  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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