Securities Law Bundle - California CLE

We have selected our most popular lectures and bundled them together into our Securities Law Bundle. This Bundle contains 25 Credit Hours of CA CLE Lectures. All your mandated specialty hours including Elimination of Bias, Implicit Bias, Competence Issues, Civility, Technology and Ethics are included.

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25
Credit Hours
of CLE Lectures
Save $755
Only $495
Save $755
Courses priced individually at $1,250
  • 5 Ethics
  • 1 Implicit Bias
  • 1 Wellness
  • 1 Competence Issues
  • 2 Technology
  • 1 Elimination Bias
  • 1 Civility

Securities Law Bundle Includes:

  • $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...

  • $50

    Form CRS: Practical Considerations for Attorneys

    General Credits: 1

    Every attorney who is in the position of referring a client to a financial professional or firm needs to be aware of the firm's CRS, a new 2- to 4-page disclosure document that SEC-regulated firms must deliver to their clients. The CRS was adopted to help investors understand the different sta...

  • $50

    Diversity & Inclusion: Recognizing the Damaging Effects of Implicit Bias in the Workplace

    Implicit Bias Credits: 1

    Implicit bias, the unconscious associations that shape our thoughts and actions, is increasingly recognized as a crucial area of study. These biases often originate from our personal experiences, cultural backgrounds, societal norms, and media influences. This CLE program offers an in-depth explora...

  • $50

    Mindfulness for Attorneys: Emotional Wellness & Well-Being

    Wellness Credits: 1

    Join us for an insightful exploration of mental well-being in the legal profession, where personal stories of burnout, recovery, and mental health challenges take center stage. Drawing from real-life experiences, this program offers practical strategies for managing stress and achieving work-life b...

  • $75

    What Attorneys Need to Know About Reading and Understanding Financial Statements

    General Credits: 1.5

    Lawyers regularly interact with business people. Business people have their own language. Phrases like EBITDA, NOPAT, Gross Profit, Operating Profit, Net Income, on a fully diluted basis, retained earnings, current versus long term assets and liabilities, Free Cash Flow. If these terms are a fore...

  • $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...

  • $50

    Ask FINRA Senior Leaders

    General Credits: 1

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

  • $50

    The Effects of Trauma and Compassion Fatigue on the Lawyer Who Cares

    Competence Issues Credits: 1

    Many of us were attracted to the legal profession because we care about people and want to help them. Attorneys hopefully recognize that, unlike many other professionals, their lives are already filled to the brim with anxiety and stress. The consequences of shrugging it off can be catastrophic. O...

  • $50

    Emerging Developments in Artificial Intelligence for Lawyers

    Technology Credits: 1

    Artificial Intelligence is becoming ubiquitous in legal practice. New tools and new providers emerge constantly. Lawyers need to understand artificial intelligence in order to represent their clients competently and effectively. Lawyers also need to understand the use of AI in order to compete....

  • $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...

  • $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...

  • $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:...

  • $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...

  • $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...

  • $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...

  • $50

    The Rise of The Machines: A Lawyer's Guide to Avoiding Legal Extinction

    Technology Credits: 1

    This CLE course will introduce attorneys, across the board, to the transformative effects of Artificial Intelligence (AI) within the legal industry. It begins with a clear-cut breakdown of AI and Machine Learning (ML), and their practical applications in law. Then, with focus on how to harness the...

  • $75

    ABA Model Rules Of Professional Conduct and AI Ethics: Key Highlights of the New Challenges Facing Attorney Compliance

    Ethics Credits: 1.5

    Every rule of the ABA’s Model Rules of Professional Conduct has been impacted by the presence of artificial intelligence. During this CLE, we will examine key concerns arising under the ABA Model Rules when juxtaposed against the realities and challenges imposed when practicing law alongside the le...

  • $75

    The Ten Worst Ethics Nightmares You Can Have

    Ethics Credits: 1.5

    This program will be a rapid analysis of the 10 disastrous errors you can make in the world of Legal Ethics that will give you nightmares or even derail your career. These groups of errors are not totally inclusive of the challenges that face a modern practitioner but anyone who is actively eng...

  • $100

    The Nuts and Bolts of Ethics: No Nonsense

    Ethics Credits: 2

    This course will explore the origins of ethics and focus on how that obligation to remain virtuous and honorable still impacts lawyers today. The course will focus on the 5 C’s of Virginia Ethics (i.e., Competence, Communication, Confidentiality, Conflict of Interest, and Candor). Each has a si...

  • $50

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

    Elimination Bias Credits: 1

    Being a DEIA Agent of Change in the Legal Workplace and Beyond is an introductory course to Diversity, Equity, Inclusion and Accessibility (DEIA) concepts and initiatives from a legal perspective. The course begins by discussing the definition of DEIA and related concepts. The course also provi...

  • $50

    Attorney Ethics, Civility and Professionalism

    Civility Credits: 1

    Modern rules of professional conduct and professional ideals create a number of professionalism and civility obligations on attorneys. The rules though do little to help attorneys manage their day to day interactions with colleagues to achieve these goals. This presentation will discuss emoti...

  • $50

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

    General Credits: 1

    This CLE program will discuss cyber security, the consequences of a cyber breach, including ethical considerations, and cyber insurance. In the U.S., we are faced with 50 state laws on data privacy and security. If your business holds personal information from a resident of a particular state, what...

25
Credit Hours
of CLE Lectures

CLE Your Way, Anywhere!
DVDs, Audio CDs, USB Stick, Online & iOS/Android App included at no extra charge!

Course Media Options
Only $495
Save $755
Courses priced individually at $1,250

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