Securities Law Bundle Includes:

• $50

  Ethical Issues in Representing Clients with Diminished Capacity

  Ethics Credits: 1

  This CLE course will cover some of the legal rules applicable to attorneys working with clients who experience diminished capacity and the consequent potential for fraud and abuse against a client with diminished capacity. In this course, attendees will learn how to identify a client who has dimini...

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• $50

  Ethical Referral Fees: A 50 State Survey

  Ethics Credits: 1

  When done correctly, fee sharing is not only ethical–it leads to better outcomes for clients. This CLE program will survey the various regulatory frameworks utilized by states concerning referral fees with the goal of providing lawyers with working understanding of how to employ this tool to benefi...

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• $50

  Hot Topics in Municipal Securities and Other Fixed Income

  General Credits: 1

  This CLE program covers an assortment of key considerations surrounding fixed income securities including exam priorities, common findings and enforcement actions, fixed-income rulemaking, and an update on SEC Rule 15c2-11. This CLE program will discuss: Review of recent enforcement actions rela...

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• $50

  Current Issues Under Regulation Best Interest and Form CRS

  General Credits: 1

  In an ongoing dialogue, regulators and industry practitioners come together to delve into a wide array of current topics and delve deep into the valuable lessons learned through their experiences with Reg BI (Regulation Best Interest) and Form CRS (Customer Relationship Summary). This collaborative...

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• $50

  The Inside Scoop on Insider Threats and Cybersecurity

  General Credits: 1

  This highly informative CLE session will delve into the multifaceted nature of insider and related cyber threats. In an increasingly interconnected digital landscape, it is vital for organizations to comprehend the compounding risks posed by these threats, understand where they can manifest, and pr...

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• $50

  Navigating the SEC and CFTC Whistleblowing Programs

  General Credits: 1

  This CLE course provides an overview of the CFTC, SEC, and IRS whistleblower programs, with a focus on the basics of eligibility, anonymity, and the whistleblowing process. The course will cover the analysis of potential whistleblower claims and the necessary steps for filing a whistleblower claim...

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• $50

  Capital Formation: Current Regulatory Landscape and Challenges

  General Credits: 1

  Attend this session to learn more about the regulatory landscape, potential challenges, and resources for firms as it relates to capital formation. This CLE program will discuss: Discuss current regulatory landscape Discuss challenges and obstacles from firm perspective Resources for firms

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• $50

  Leveraging Regulatory Technology for Your Firm

  General Credits: 1

  During this CLE program, panelists discuss how RegTech is impacting the securities industry as well as related benefits, risks and regulatory considerations. The session also covers different RegTech tools available to enhance compliance efforts, such as FINRA's new Machine Readable Rulebook as we...

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• $50

  Market Structure: Current Developments and Future Trends

  General Credits: 1

  During this session, panelists discuss current developments in market structure, including order handling, order routing and execution quality disclosure, and other developments for fixed income and equity securities. This session will discuss: Discuss current developments and future trends in...

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• $75

  The Case Against Tipper X

  General Credits: 1.5

  lmagine the following: lt is the morning of a normal workday for you and millions of others who live in New York City. You go to the gym for a workout and run some errands before heading to the office. Unexpectedly, two FBI agents approach you on the sidewalk, flash their badges - in public view -...

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• $50

  Compliance and Legal Trends

  General Credits: 1

  Join industry leaders as they discuss trends, key focus areas and strategies that are shaping the industry. Panelists share insights on how these changes will affect compliance, and how firms are evolving and responding to business, regulatory and technology issues.

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• $50

  Ask FINRA Senior Staff

  General Credits: 1

  During this CLE program, FINRA senior staff provide updates on key regulatory issues. Panelists address questions relating to FINRA’s risk-based examination program, disciplinary actions, market regulation programs and new and anticipated rules, among other topics.

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• $75

  Overhaul of Regulatory Capital Requirements Proposed By US Banking Regulators

  General Credits: 1.5

  The US federal banking regulators have jointly proposed extensive revisions to the regulatory capital requirements for [midsize and] larger US banking organizations. The revisions are lengthy and would change the requirements for credit, market, and operational risk. Some of the revisions are l...

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• $50

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

  Ethics Credits: 1

  This CLE course focuses on the latest trends in ethics found in modern day legal practice. While focusing on the rules that govern attorney conduct, the course explores application of the rules to the ever changing landscape of practice. Specific addressment includes preservation of electronic data...

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