Securities Law Bundle Includes:

• $29

  Variable Products & Retirement Planning

  General 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

  Advertising Compliance Bootcamp: Select Topics

  General 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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• $29

  Exempt Offerings

  General 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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• $34

  Ethical Considerations When Responding To Lozada Complaints

  Ethics Credits: 1

  While one of the most complex areas of law, immigration law can be extremely rewarding and tends to foster a collegial atmosphere amongst peers. Yet this congeniality can backfire when an attorney must file a disciplinary complaint against another in defense of their clients as required by the Matt...

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• $34

  Legal Ethics: Confidentiality and Taking Remedial Measures

  Ethics Credits: 1

  The issue of confidentiality is critical to the attorney/client relationship. As one of the three primary fiduciary duties a lawyer owes to their client, it is necessary to ensure that clients can discuss sensitive matters with their lawyer. What happens, however, when evidence presented turns out...

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• $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

  Investment Companies Current Topics

  General 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

  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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