Securities Law Bundle w/Live Webinars Includes:

• $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

  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

  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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• $34

  To Prosecute or Not To Prosecute? Analyzing Ethical Rules Telling Prosecutors When and How They Can Do Their Job

  Ethics Credits: 1

  Whether and how to prosecute a case is not an open and shut issue. This CLE course will present prosecutors with the rules which limit the possibility of prosecuting certain cases as well as the guidelines for how they can and should be prosecuted. But this course does not only apply to prosecu...

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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

  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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