Securities Law Bundle Includes:

• $34

  Reel Ethics: Navigating Ethical Dilemmas Through Film and TV Scenarios

  Ethics Credits: 1

  Join us for an engaging and interactive CLE course that delves into various ethical scenarios through the lens of popular movies and television shows. By analyzing ethical dilemmas faced by fictional lawyers, you'll learn how to navigate similar issues in your practice. We'll present real-life exam...

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• $29

  The State Of The Art of Investment Advisor Regulations

  General Credits: 1

  This CLE course provides practical guidance for investment advisers following the Fifth Circuit's decision to vacate the SEC's latest Private Investment Adviser regulations. We will explore the reasons behind the SEC's decision not to appeal and the resulting implications. The course will also...

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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

  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

  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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• $34

  Lawyers and Generative Artificial Intelligence: What Could Go Wrong: Ethical and Other Concerns

  Ethics Credits: 1

  Explore the transformative impact of generative artificial intelligence (GAI) on the legal profession in this comprehensive CLE program. As GAI continues to revolutionize the field, its applications in litigation and broader legal services are becoming indispensable. This course delves into the...

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• $29

  FINRA's Disciplinary Hearing Process

  General Credits: 1

  This CLE course features perspectives from FINRA Enforcement counsel, defense counsel, and a hearing panelist. The course aims to enhance your understanding of FINRA's disciplinary hearing process, focusing on the key differences between self-regulated hearings and those conducted by administrative...

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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

  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

  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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• $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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• $34

  Prosecutors and Restitution: Navigating Ethical Challenges

  Ethics Credits: 1

  In numerous criminal cases, victims endure severe injuries and significant inconveniences due to a lengthy, confusing, and challenging legal process. The path to recovery—whether physical, legal, emotional, or personal—can be extremely difficult. Meanwhile, criminal defendants face their own array...

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