Securities Law Bundle Includes:

• $55

  Overhaul of Regulatory Capital Requirements Proposed By US Banking Regulators

  General Credits: 1.5

  This CLE course will examine the new, and fairly extensive, list of revisions to the regulatory capital requirements for both large and midsize banking organizations which were jointly proposed by US federal banking regulators. The revisions, which are quite lengthy, would seriously alter the requi...

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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

  Diversity & Inclusion: Recognizing the Damaging Effects of Implicit Bias in the Workplace

  Implicit Bias Credits: 1

  Implicit bias, increasingly studied and discussed, involves subconscious associations our minds create linking various concepts and ideas. These biases arise from our experiences, cultural backgrounds, societal norms, media influences, and other factors. This CLE program explores the nature of...

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• $34

  Mindfulness for Attorneys: Emotional Wellness & Well-Being

  Wellness Credits: 1

  This thought-provoking CLE will explore mental well-being within the legal profession as we spotlight personal narratives of burnout, recovery, and the challenges associated with mental health. Rooted in authentic experiences, this program provides tangible strategies to navigate stress and attain...

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• $55

  What Attorneys Need to Know About Reading and Understanding Financial Statements

  General Credits: 1.5

  Like any field, businesspeople have a lingo all their own. Phrases such as NOPAT, Operating Profit, Net Income, EBITDA, retained earnings, current vs. long-term assets and liabilities, Free Cash Flow are all used regularly in the business world, but are practically a foreign language to attorneys....

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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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• $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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• $34

  The Effects of Trauma and Compassion Fatigue on the Lawyer Who Cares

  Competence Issues Credits: 1

  While lawyers tend to get a bad rap, many are attracted to the legal profession because they care about people and genuinely want to help them. And they live stressful lives as a result, many working incredibly long hours and unable to take a break lest they disappoint their clients. Beyond the typ...

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• $34

  Emerging Developments in Artificial Intelligence for Lawyers

  Technology Credits: 1

  Artificial Intelligence has become an integral part of the legal landscape, with a constant influx of new tools and providers. It is imperative for legal professionals to grasp the intricacies of AI to adeptly advocate for their clients and remain competitive. This CLE course delves into essential...

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• $29

  Financial Crimes: Outpacing the Threats

  General Credits: 1

  In today's rapidly evolving financial landscape, the threat of financial crimes is ever-present and increasingly sophisticated. This CLE course delves into the latest trends and emerging tactics in financial crime, including fraud, money laundering, and cybercrime. Through a combination of theoreti...

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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

  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

  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

  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

  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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• $34

  The Rise of The Machines: A Lawyer's Guide to Avoiding Legal Extinction

  Technology Credits: 1

  Designed for both novice and seasoned attorneys alike, this CLE course will offer a basic overview to the ways in which Artificial Intelligence (AI) can transform legal tasks. Participants will be given the knowledge and perspective needed to successfully integrate AI into their work successfully,...

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• $65

  ABA Model Rules Of Professional Conduct and AI Ethics: Key Highlights of the New Challenges Facing Attorney Compliance

  Ethics Credits: 1.5

  In this CLE session, we will explore the significant ethical considerations that arise when practicing law in tandem with AI, which often operates without the structured ethical foundation that governs human professionals. This CLE is tailored specifically for lawyers, beginning with a straightf...

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• $65

  The Ten Worst Ethics Nightmares You Can Have

  Ethics Credits: 1.5

  Legal ethics are a dangerous area – one mistake can derail your career. This CLE course will present a rapid analysis of the 10 disastrous legal ethics errors you can. The ABA Model Rules of Professional Responsibility are often a solid guide for clarity in the ethical expectations of the legal pro...

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• $65

  The Nuts and Bolts of Ethics: No Nonsense

  Ethics Credits: 2

  Ethical values may change with the times, but the concept of ethics in business has been around for a long time. This CLE course will explore the origins of ethics and how ethical obligations continue to impact what is considered honorable behavior amongst attorneys today. The course will address t...

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• $34

  Being a DEIA Agent of Change in The Legal Workplace and Beyond

  Elimination Bias Credits: 1

  This introductory CLE course on Diversity, Equity, Inclusion and Accessibility (DEIA) offers a comprehensive legal overview of various related concepts and initiatives. The course will open with the definition and legal history of DEIA as well as some relevant background. Going as far back in h...

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• $34

  Attorney Ethics, Civility and Professionalism

  Civility Credits: 1

  The obligations on attorneys, as defined by the professional code of ethics and rules of conduct, often do not help attorneys deal with day-to-day interactions with colleagues and clients. Often, even though we know the rules, our actions and behaviors are guided by our feelings in a moment instead...

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• $29

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

  General 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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