Securities Law Bundle Includes:

• $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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• $34

  The Ethics of Witness Preparation: Does ABA Ethics Rules Change the Dynamics for Preparing Witnesses?

  Ethics Credits: 1

  Led by a team of highly experienced trial and litigation specialists, this informative CLE course will address the impact of new ABA Formal Opinion 508, “The Ethics of Witness Preparation,”. The course will present the impact of the opinion on counsel’s approach to working with witnesses, including...

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• $29

  Compliance and Legal Trends

  General 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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• $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...

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• $29

  The Firm Perspective on Monitoring and Protecting Against Financial Crimes

  General 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

  Market Structure: Current Developments and Future Trends

  General 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

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

  General 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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• $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...

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• $29

  Common Issues with Navigating the Changing Landscape of Multistate Taxation of Crypto Currency & Crypto Based Companies

  General Credits: 1

  State Taxation varies across US states. The State and Local Tax (SALT) levels in particular are different for every jurisdiction with their own tax code and tax treatment for different types of applications. For example, the revenue from a particular company is classified in California may vary wid...

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• $29

  Leveraging Regulatory Technology for Your Firm

  General 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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• $55

  The Case Against Tipper X

  General Credits: 1.5

  On what he thought was a typical workday in New York City, Tom Hardin woke up, went to the gym and ran a few errands on the way to the office. And on his way, two FBI agents suddenly appeared, publicly flashed their badges and began questioning him about his job. Tom was shocked and confused an...

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• $34

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

  Substance Abuse 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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