Securities Law Bundle Includes:

• $29

  Cyber Security Compliance Trifecta: Recent Revisions to Three Important Security & Privacy Standards

  Law & Legal Proc. Credits: 1

  Both large and small companies have been faced with increasing cybersecurity compliance concerns. This informative CLE course will review the standards and requirements revisions published recently, which have broad implications for cybersecurity compliance. These include the Spec. Pub 800-53 (...

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• $55

  Setting Up Your Securities Clients For Success

  Law & Legal Proc. Credits: 2

  Legal counsel will typically evaluate Exempt Offering Documents on legal grounds, ignoring the option of considering how offerings can be best articulated from the underwriting perspective. This CLE course will offer tips on how to approach securities documentation from the standpoint of underw...

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• $29

  Bitcoin: Time For Lawyers To Take A Byte

  Law & Legal Proc. Credits: 1

  With the emergence of blockchain technology, the Internet of Value has replaced the Internet of Information and the Internet of Things. It has thoroughly transformed our economic system with cryptocurrency being the hottest topic in financial news. The ethical issues involved however, have bare...

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• $65

  Legal Ethics: Dos and Don’ts for Attorney Advertising

  Ethics Credits: 2

  Marketing yourself as a lawyer can create confusing ethical dilemmas. This CLE course will address the correct balance of advertising, social media and video and client engagement used to grow your practice. The course will differentiate between advertisements and solicitations and explain the...

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• $34

  Understanding Diversity, Equity and Inclusion: How the Law Created Inequity

  Equity Credits: 1

  Efforts to equalize opportunity are often encapsulated by the words “diversity, equity and inclusion”. The need and purpose for DEI requires an understanding of how inequality is embedded into the law. This CLE course will explain the many laws and judicial pronouncements that have made inequal...

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• $29

  Fintech Firms: Communications Compliance Topics

  Law & Legal Proc. Credits: 1

  This CLE course presents the insights of FINRA staff and industry panelists on the challenges and effective practices of communications compliance for Fintech-focused firms. The course will cover topics such as mobile applications, integrated product offerings, digital engagement practices, and...

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• $29

  Advertising Compliance: Fundamentals of FINRA Rule 2210

  Law & Legal Proc. Credits: 1

  Whether you are new to FINRA’s advertising rules or an experienced practitioner looking for a refresher course, this informative CLE course, presented by a panel of FINRA professionals, offers a comprehensive overview of FINRA’s Communications With the Public rule. The course will include filin...

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• $29

  Private Placements: The Latest Regulatory Developments and Compliance Considerations

  Law & Legal Proc. Credits: 1

  This CLE program will explore the latest private placement regulatory advancements, with a particular focus on regulatory notice 23-XX. Gain valuable insights into compliance responsibilities and best practices concerning Reg BI, sales materials, due diligence, conflicts of interest, and other pert...

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• $29

  Advertising Compliance Bootcamp: Select Topics

  Law & Legal Proc. Credits: 1

  This CLE course will address the issues of content violations, disclosure and performance standards of SEC Rules. The course will also explain the current standards for variable insurance product communications, and offer expert guidance as they relate to options communications, rankings presentati...

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• $55

  Due Diligence Under The 33 Act: Avoid Disasters in the Middle of an IPO

  Law & Legal Proc. Credits: 1.75

  This CLE course will offer a comprehensive overview of what lawyers and bankers confront during the marketing and distribution process of IPO’s. The course will address potential pitfalls and issues that may arise and provide real-life examples of the many hurdles that could potentially jeopard...

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• $29

  Skip Tracing for Lawyers

  Law & Legal Proc. Credits: 1.25

  Located a missing person is sometimes required of attorneys in most areas of practice, though more often for those practicing trust and estates, malpractice, debt collection, personal injury, and real estate law. Typically, with enough information, creativity and resources, attorneys can locate ind...

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• $29

  Exempt Offerings

  Law & Legal Proc. Credits: 1

  Designed to address industry and regulatory developments related to Reg D and Reg A+ offerings, this CLE course will address recent regulatory findings and common concerns. The course will also offer practical information and best practices for firms offering these products to retail investors. A d...

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• $29

  Investment Companies Current Topics

  Law & Legal Proc. Credits: 1

  This CLE course will address a variety of advertising compliance issues concerning registered investment companies. These may include mutual funds, ETFs and closed-end funds. FINRA staff and industry experts will present the compliance challenges related to complex products such as single stock ET...

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• $29

  Digital Communications and Social Media

  Law & Legal Proc. Credits: 1

  With digital marketing rapidly changing, how do firms remain in compliance? How do we communicate relevant, meaningful information in this dynamic digital age? This CLE course will explain the challenges being faced by industry and regulatory experts and how they are successfully addressing these c...

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• $29

  Cybersecurity, Privacy, and Data Protection Issues: Ethical Considerations and New Requirements

  Law & Legal Proc. Credits: 1

  Several states are currently considering mandating CLE hours that concentrate on cybersecurity, privacy, and data protection. The obligation for lawyers to possess technology competency is not new, as many states have already adopted the American Bar Association (ABA) Model Rule's requirement. The...

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• $29

  Back to the Future in Fixed Income Investing? Navigating a Changing Landscape in Municipal and Fixed Income Securities

  Law & Legal Proc. 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

  Variable Products & Retirement Planning

  Law & Legal Proc. Credits: 1

  Presented by FINRA staff and industry practitioners, this CLE course will explain variable and retirement planning productions including how to create a variable product communication with respect to content and performance. Select topics such as supplemental hypothetical illustrations, compari...

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• $29

  Navigating the SEC and CFTC Whistleblowing Programs

  Law & Legal Proc. 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...

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• $29

  Redefining Communications Compliance for the Digital Age

  Law & Legal Proc. Credits: 1

  Join us in exploring how firms are tackling the compliance challenges and leveraging the opportunities presented by the growing reliance on mobile apps, social media, and other digital channels for communication. In this enlightening session, industry experts and representatives from FINRA will pro...

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• $29

  Current Issues Under Regulation Best Interest and Form CRS

  Law & Legal Proc. 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...

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• $29

  Ask FINRA Senior Staff

  Law & Legal Proc. 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...

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• $29

  The Firm Perspective on Monitoring and Protecting Against Financial Crimes

  Law & Legal Proc. 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...

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• $29

  Financial Responsibility Rules and Relevant Touchpoints

  Law & Legal Proc. Credits: 1

  Join us for an enlightening CLE course where our esteemed panelists will explore a range of topics related to SEC and FINRA financial responsibility rules. The discussion will encompass the regulatory obligations imposed on introducing, intermediary, carrying, and clearing firms as outlined in FINR...

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• $29

  The Evolution of Branch Office Inspections

  Law & Legal Proc. Credits: 1

  Join our panel discussion as we explore valuable insights gained from the shift towards remote branch inspections. Our esteemed speakers will delve into topics such as effective tools and documentation strategies, alternative vendors, key indicators to watch out for ("red flags"), as well as the la...

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• $29

  Antitrust Merger Enforcement: Significant Regulatory Developments and Issues Explored

  Law & Legal Proc. Credits: 1

  Designed to offer attorneys an in-depth understanding of the current state of US antitrust regulations and the role of antitrust agencies in reviewing and challenging mergers, this CLE course will present a comprehensive overview of the merger control process in the US, priorities of the antitrust...

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• $29

  Capital Formation: Current Regulatory Landscape and Challenges

  Law & Legal Proc. 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...

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• $29

  Cyber Security and Cyber Breach: What Lawyers and Their Law Firms Need to Know Now

  Law & Legal Proc. Credits: 1

  This CLE program will explore the issues surrounding cyber security, the potential consequences of a cyber breach, and the ethical considerations that accompany such an event. With over 50 state laws in the United States concerning data privacy and security, companies must understand what legal and...

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• $29

  Current Trends and Threats in Financial Crimes

  Law & Legal Proc. Credits: 1

  During this CLE session, Deputy Director Abbate and Under Secretary Nelson engage in a comprehensive dialogue on the most recent advancements in financial crimes and the risks associated with illicit finance. The discussion encompasses novel and emerging threats concerning money laundering, fraud,...

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• $29

  Form CRS: Practical Considerations for Attorneys

  Law & Legal Proc. 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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• $29

  The Inside Scoop on Insider Threats and Cybersecurity

  Law & Legal Proc. Credits: 1

  This CLE program is designed to expand your understanding of the compounding risks associated with insider and related cyber threats. By joining this session, you will gain comprehensive knowledge about the various manifestations of these risks, their potential occurrence in different contexts, and...

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• $29

  Oh How the Mighty Have Fallen: Crypto and the Federal Securities and Commodities Laws

  Law & Legal Proc. 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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• $29

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

  Law & Legal Proc. 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...

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• $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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• $29

  Market Structure: Current Developments and Future Trends

  Law & Legal Proc. Credits: 1

  In this CLE program, panelists will engage in a discussion about the latest advancements in market structure. They will cover topics such as order handling, order routing, execution quality disclosure, and other relevant developments pertaining to fixed income and equity securities. The session...

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• $29

  Leveraging Regulatory Technology for Your Firm

  Law & Legal Proc. Credits: 1

  In this CLE, the panelists delve into the impact of RegTech on the securities industry, examining the associated benefits, risks, and regulatory factors. They explore a range of RegTech tools that can enhance compliance efforts, including the innovative Machine Readable Rulebook introduced by FINRA...

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• $29

  Hot Topics in Municipal Securities and Other Fixed Income

  Law & Legal Proc. 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...

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• $29

  Compliance and Legal Trends

  Law & Legal Proc. 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...

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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...

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• $34

  All's Fair In The Rules of Professional Conduct: Threats and Fees

  Ethics Credits: 1.25

  This CLE course will address the rules of professional conduct in relation to fairness regarding both threats and fees. The course will begin by presenting threats to present, or participate in presenting, professional or criminal disciplinary charges in order to gain an advantage in a civil matter...

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• $34

  The Ethics and Art of Settlement at Mediation

  Ethics Credits: 1

  Mediation has many benefits both for attorneys and for their clients. This informative CLE course will present the ways in which attorneys may benefit from the mediation process including in presentation, psychology, and strategies that will better your chances of success. The course will also...

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• $55

  Metaverse Law: Intro to ARVR, Issues, IP Ownerships, Monetization, Cyber Currency, and Licensing

  Law & Legal Proc. Credits: 1.75

  This CLE course will address the incredible breadth of tech law in the Metaverse, which still remains largely unregulated. The course will offer a review of the basic terminology – using terms everyone can understand – as well as how regulatory and statutory laws may apply to the Metaverse, how...

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