Securities Law Bundle w/Live Webinars - Rhode Island CLE

We have selected our most popular lectures and bundled them together into our Securities Law Bundle w/Live Webinars. This Bundle contains 6 hours of on-demand courses including 2 hours of ethics and an additional 4 credits of Live Interactive Webinar classes that can be used for any of the upcoming events on our webinar calendar

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Rhode Island MCLE
Accreditation Info

United Institute for Continuing Legal Education is a provider of accredited CLE courses throughout the country. To view our full accreditation details please .

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10
Credit Hours
of CLE Lectures
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Only $179
Save $141
Courses priced individually at $320

Securities Law Bundle w/Live Webinars Includes:

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  • $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...

  • $29

    Ask FINRA Senior Staff

    General Credits: 1

    In this CLE program, senior staff members from FINRA deliver informative updates on crucial regulatory matters. The panelists engage with the audience, addressing inquiries concerning FINRA's risk-based examination program, disciplinary actions, market regulation initiatives, as well as new and for...

  • $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...

  • $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...

  • $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...

  • $34

    Ethical Referral Fees: A 50 State Survey

    Ethics Credits: 1

    Fee sharing, when done correctly, is an ethical approach to providing a better outcome for clients. This CLE course will present the various regulatory frameworks that states utilize in determining referral fees for fee sharing. Designed to provide attorneys with a working understanding of how...

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