Securities Law Bundle Includes:

• $50

  The State Of The Art of Investment Advisor Regulations

  General Credits: 1

  This CLE course explores the latest developments in Investment Adviser Regulation, focusing on practical steps for investment advisers in light of the Fifth Circuit's decision to vacate the SEC's recent Private Investment Adviser regulations. We'll examine why the SEC chose not to appeal the ru...

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• $50

  Financial Crimes: Outpacing the Threats

  General Credits: 1

  This CLE will explore how threat actors are attempting to defraud investors through tactics including market manipulation, new account fraud, cryptocurrency and generative AI. Panelists address the most prominent threats and share effective practices and resources to help firms proactively combat c...

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• $50

  Crowdfunding Capital Raises: Considerations for Broker-Dealers & Funding Portals

  General Credits: 1

  This CLE session explores aspects of Regulation CF and considerations for broker-dealers and funding portals within the crowdfunding realm. Join panelists at this session to gain knowledge on emerging regulatory risks and practices broker-dealers and funding portals can implement to stay in complia...

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• $50

  The Progression of Regulation Best Interest and Form CRS

  General Credits: 1

  During this CLE session, panelists discuss recent observations on firm adherence to Regulation Best Interest and Form CRS and share guidance on Reasonably Available Alternatives, the Care Obligation, and Conflicts of Interest. This session will discuss: Actions: ­ Recent SEC and FINRA findings in...

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• $50

  Fixed Income Securities Regulatory Outlook

  General Credits: 1

  This CLE session addresses the latest regulatory focuses related to both fixed income and municipal securities, including Time of Trade disclosures, SEA Rule 15c2-11, and considerations firms should keep in mind with respect to exam priorities, findings, and enforcement actions. This session wil...

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• $50

  Prosecutors and Restitution: Navigating Ethical Challenges

  Ethics Credits: 1

  In many criminal cases, crime victims are desperately injured and dramatically inconvenienced in a long, confusing, and challenging legal process. The road to recovery physically, legally, emotionally, and personally can be hard. In those exact same cases, criminal defendants face their own serie...

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• $50

  Promoting Market Integrity: FINRA’s Role in Market Structure

  General Credits: 1

  Hear regulatory and industry perspectives on FINRA’s role in promoting market integrity and on the new and evolving rules such as current market structure proposals, securities lending and how transparency initiatives are shaping the market. This CLE discusses: New and emerging rules SEC marke...

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• $50

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

  General Credits: 1

  Do you refer clients to financial advisers? Lawyers need to understand the regulatory framework that distinguishes financial advisers, particularly in light of new (2020) disclosure documents (Form CRS). In this program, we will cover how financial advisers are regulated; how standards of care...

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• $50

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

  Ethics Credits: 1

  Artificial intelligence and, more specifically, generative artificial intelligence (GAI) is increasingly used by attorneys. GAI is touted as being revolutionary and "game-changing" for the legal profession for purposes of litigation and providing broader legal services to clients. However, GAI brin...

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• $50

  Developments in Remote Supervision

  General Credits: 1

  This CLE course will explore the latest remote supervision developments including the remote inspection pilot program, amendments to supervision rules to cover Residential Supervisory Locations and risk-based supervision best practices. This session will discuss: Sunsetting of current COVID rel...

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• $50

  Technology Governance: Mitigating Risk Throughout the Vendor Lifecycle

  General Credits: 1

  This CLE course dives into factors firms should consider when outsourcing activities or functions to third-party providers. Hear from panelists as they discuss how to mitigate vendor risk with strong technology governance programs that encompass the lifecycle of vendor engagement, from onboarding,...

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• $50

  FINRA's Disciplinary Hearing Process

  General Credits: 1

  Hear from FINRA Enforcement counsel, defense counsel, and a hearing panelist as they broaden awareness about FINRA's disciplinary hearing process and highlight distinctions between self-driven hearings and administrative law judge hearings. This CLE course will discuss: The differences between...

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• $50

  Crypto Assets: Trends, Regulatory Developments and Resources

  General Credits: 1

  Join this session to learn about the latest cryptocurrency regulatory developments including the crypto-assets retail communications sweep and rule proposal, current trends in crypto misconduct, and resources and guidance firms can leverage. This session will discuss: • Regulatory Developments:...

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• $50

  Compliance and Legal Trends in The Financial Industry

  General Credits: 1

  Join industry leaders for an in-depth discussion on the latest legal trends, critical focus areas, and innovative strategies shaping legal and compliance functions within financial firms. This CLE session will provide valuable insights into how these changes are impacting the sector and share their...

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• $50

  Ethics of Practicing Across State Lines: Temporary and Virtual Practice

  Ethics Credits: 1

  Every day, lawyers practice in jurisdictions where they are not licensed. They advise clients who live there, respond to calls and emails from them, draft agreements that will be implemented there, even try cases there. This has led to a host of regulatory issues in recent years, as the courts, b...

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