Securities Law Bundle Includes:

• $29

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

  General 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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• $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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• $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

  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

  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

  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

  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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• $34

  Ethics in the Digital Era: What Attorneys Need to Know

  Attorney Conduct 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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• $29

  The Latest in Private Placement Sales Oversight

  General Credits: 1

  Stay informed about regulatory developments, compliance obligations, and best practices for selling private placements. This CLE session will cover: An overview of regulatory updates and compliance obligations related to private placements Effective practices for adhering to Regulation Best In...

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• $29

  Promoting Market Integrity: FINRA’s Role in Market Structure

  General Credits: 1

  Gain insights from regulatory and industry experts on FINRA’s efforts to uphold market integrity and the impact of new and evolving regulations. This CLE program will cover: New and emerging rules SEC market structure proposals Securities lending practices Transparency initiatives shaping the marke...

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• $29

  Modernizing Off-Channel Communications Supervision

  General Credits: 1

  Join our panelists as they share insights from thematic reviews of off-channel communications, including text messages and social media platforms. Discover effective techniques firms are using to oversee their communications. This session will cover: The communications landscape Rule requirement...

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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

  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

  Current Trends and Threats in Financial Crimes

  General 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

  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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• $34

  Ethical Referral Fees: A 50 State Survey

  Attorney Conduct 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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• $34

  Ethics in Modern Day Legal Practice: The Current Hot Ethical Topics Found in Client Grievances and Malpractice Suits

  Attorney Conduct Credits: 1

  Ethical issues are constantly evolving and modern day legal practices need to stay current. This informative CLE course will address the latest trends in ethics with a particular focus on the rules that govern attorney conduct. The course will explore how the rules apply to an ever-changing landsca...

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• $29

  Ask FINRA Senior Staff

  General 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

  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

  Antitrust Merger Enforcement: Significant Regulatory Developments and Issues Explored

  General 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

  The Evolution of Branch Office Inspections

  General 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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• $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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• $34

  Legal Ethics: Reasonableness of Fees

  Attorney Conduct Credits: 1

  Compliance with ethics rules are a requirement for all firms and it is typically someone’s responsibility to ensure that compliance whether it’s an ethics committee, sole employee, or a shared responsibility amongst all attorneys. Regardless of how it is handled, ethics are the responsibility o...

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