Securities Law Bundle Includes:

• $29

  Current Trends and Threats in Financial Crimes

  Law & Legal Proc. 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

  Form CRS: Practical Considerations for Attorneys

  Law & Legal Proc. 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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• $29

  The Inside Scoop on Insider Threats and Cybersecurity

  Law & Legal Proc. Credits: 1

  This CLE program is designed to expand your understanding of the compounding risks associated with insider and related cyber threats. By joining this session, you will gain comprehensive knowledge about the various manifestations of these risks, their potential occurrence in different contexts, and...

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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

  Promoting Market Integrity: FINRA’s Role in Market Structure

  Law & Legal Proc. 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

  Cybersecurity and Data Privacy Obligations for Lawyers

  Law & Legal Proc. Credits: 1

  Focusing on the vast cyber threats to the legal community, this CLE course will explain why lawyers are such tempting targets to hackers. The course will explain the cost of data breaches and an attorney’s obligation to cybersecurity, particularly in the context of ESI. This course will include...

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• $29

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

  Law & Legal Proc. 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

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

  Law & Legal Proc. 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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• $29

  Private Placements: The Latest Regulatory Developments and Compliance Considerations

  Law & Legal Proc. Credits: 1

  This CLE program will explore the latest private placement regulatory advancements, with a particular focus on regulatory notice 23-XX. Gain valuable insights into compliance responsibilities and best practices concerning Reg BI, sales materials, due diligence, conflicts of interest, and other pert...

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• $55

  The Case Against Tipper X

  Law & Legal Proc. 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

  Antitrust Merger Enforcement: Significant Regulatory Developments and Issues Explored

  Law & Legal Proc. 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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• $55

  Intellectual Warfare: An In-House Counsel's Guide to Bringing and Defending Against Intellectual Property Lawsuits

  Law & Legal Proc. Credits: 1.5

  Intellectual Property (IP) is a valuable asset for an organization. This informative CLE course will explain how to identify and utilize an IP to further business goals. The course will explain the types of IP’s that exist, the associated costs with obtaining and maintaining the various types o...

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• $29

  Current Issues Under Regulation Best Interest and Form CRS

  Law & Legal Proc. Credits: 1

  A dynamic forum brings together regulators and industry practitioners, fostering discussions that encompass a wide range of current topics and valuable lessons derived from experiences with Reg BI (Regulation Best Interest) and Form CRS (Customer Relationship Summary). These exchanges of insights d...

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• $29

  Corporate Transparency Act: Critical Terms and Concepts

  Law & Legal Proc. Credits: 1

  The Corporate Transparency Act, which requires beneficial owners of nearly every entity to report to FinCEN unless a specific statutory exception applies, went into effect January 1, 2024. According to this act, newly formed entities will have only 90 days to register, while existing entities will...

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• $29

  The Mediator's Toolkit: 15 Strategies Towards A Successful Mediation

  Law & Legal Proc. Credits: 1.25

  Mediation is often described as an art rather than a science. While it's accurate that there's no singular formula for conducting a mediation, there are proven methods for fostering successful outcomes. The measure of success lies in achieving a Win-Win situation for all involved parties. This C...

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• $55

  Overhaul of Regulatory Capital Requirements Proposed By US Banking Regulators

  Law & Legal Proc. 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

  Technology Governance: Mitigating Risk Throughout the Vendor Lifecycle

  Law & Legal Proc. Credits: 1

  This CLE course delves into essential considerations for firms outsourcing activities or functions to third-party providers. Learn from panelists about mitigating vendor risk through robust technology governance programs that cover the entire vendor engagement lifecycle, from onboarding and ongoing...

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• $29

  Developments in Remote Supervision

  Law & Legal Proc. Credits: 1

  This CLE course will delve into the newest advancements in remote supervision, featuring insights on the remote inspection pilot program, updated supervision rules for Residential Supervisory Locations, and best practices for risk-based supervision. Key topics include: Transitioning from curre...

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• $55

  Safeguarding Your Business & Investment Clients with Proactive Asset Protection & Estate Planning

  Law & Legal Proc. Credits: 2

  The goal of Asset Protection & Estate Planning Program for Business & Investment Clients is to address both legacy and family considerations as well as provide complete asset protection while optimizing tax benefits. This CLE course will provide everything you need to know to design a program th...

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• $29

  Conflicts of Interest in the Financial Services Industry: What Every Attorney Needs to Know

  Law & Legal Proc. 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

  Law & Legal Proc. 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

  Fixed Income Securities Regulatory Outlook

  Law & Legal Proc. 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

  Law & Legal Proc. 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

  The Latest in Private Placement Sales Oversight

  Law & Legal Proc. 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

  FINRA's Disciplinary Hearing Process

  Law & Legal Proc. 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

  Modernizing Off-Channel Communications Supervision

  Law & Legal Proc. 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

  Law & Legal Proc. 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

  Ask FINRA Senior Leaders

  Law & Legal Proc. 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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• $29

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

  Law & Legal Proc. 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

  Financial Crimes: Outpacing the Threats

  Law & Legal Proc. 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

  Ethical Referral Fees: A 50 State Survey

  Ethics 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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• $29

  Compliance and Legal Trends in The Financial Industry

  Law & Legal Proc. 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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• $34

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

  Equity 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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• $29

  Market Structure: Current Developments and Future Trends

  Law & Legal Proc. 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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• $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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• $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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• $29

  Leveraging Regulatory Technology for Your Firm

  Law & Legal Proc. 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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• $29

  Hot Topics in Municipal Securities and Other Fixed Income

  Law & Legal Proc. 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

  Compliance and Legal Trends

  Law & Legal Proc. 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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• $34

  Ethics in the Digital Era: What Attorneys Need to Know

  Ethics 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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• $34

  All's Fair In The Rules of Professional Conduct: Threats and Fees

  Ethics Credits: 1.25

  This CLE course will address the rules of professional conduct in relation to fairness regarding both threats and fees. The course will begin by presenting threats to present, or participate in presenting, professional or criminal disciplinary charges in order to gain an advantage in a civil matter...

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