Securities Law Bundle Includes:

• $50

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

  Diversity/Inclusion 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...

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• $50

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

  Mental Health/Abuse 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...

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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 Latest in Private Placement Sales Oversight

  General Credits: 1

  Learn about regulatory developments, compliance obligations and effective compliance practices related to the sales of private placements, including relevant topics such as Regulation Best Interest, communications, due diligence and conflicts of interest. This session will discuss: Review regu...

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• $50

  Emerging Developments in Artificial Intelligence for Lawyers

  General 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....

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• $100

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

  General Credits: 2

  An effective Asset Protection & Estate Planning Program for Business & Investment Clients should address family and legacy considerations, complete asset protection and tax optimization simultaneously. In addition, it should be easy to use, capable of expanding through time to embrace growth in yo...

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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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• $100

  Legal Aspects of Artificial Intelligence: Navigating the Digital Frontier

  General Credits: 2

  Artificial Intelligence (AI) is rapidly transforming the landscape of legal practice, bringing both opportunities and challenges. This CLE course will delve into the essential aspects of AI and its implications for the legal profession while adhering to legal and ethical standards. Whether you'...

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• $50

  Ethical Client Management: Tips and Tricks On What Can Save You Problems

  Ethics Credits: 1

  This CLE is a look at starting the client relationship and ethically managing initial client expectations. Sprinkled with examples and ethical rule applications, review how to start a client relationship off on the right foot in terms of client goals and attitudes. Learn tips and tricks to av...

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• $50

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

  General Credits: 1

  State Taxation varies across every state in the United States. Specifically at a State and Local Tax (SALT) level, every jurisdiction has its own tax code and tax treatment for various applications. For example, the way California may classify revenue from a certain company is not the same as Texas...

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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

  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

  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

  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

  Modernizing Off-Channel Communications Supervision

  General Credits: 1

  Join panelists as they discuss observations from thematic reviews of off-channel communications such as text and social media platforms and effective techniques firms are using to provide oversight of their firms’ communications. This session will discuss: Communications Landscape Rule Requireme...

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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

  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

  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...

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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

  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

  Reel Ethics: Navigating Ethical Dilemmas Through Film and TV Scenarios

  Ethics Credits: 1

  This fun interactive CLE course will cover various ethical scenarios by analyzing ethical dilemmas presented in popular movies and television shows, and how to best navigate such issues. Real life examples will be presented, along with solutions and considerations, along with possible outcomes. A...

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• $50

  Navigating Ethical Challenges: AI Adoption in Legal Practice

  Ethics Credits: 1

  In light of the widespread emergence of GenAI tools throughout society, the panelists will focus on how GenAI can be used responsibly in the legal industry, consistently with the Model Rules of Professional Conduct. The panelists will discuss the ethical implication of GenAI usage and offer pr...

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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

  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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• $75

  Ethical Issues in Pro Bono Representation

  Ethics Credits: 1.5

  This CLE examines the ethical issues that arise when attorneys are performing legal services on a pro bono basis. Using the ABA Model Rules of Professional Conduct, it identifies particular rules that would apply in common pro bono scenarios, and discusses how attorneys can spot potential issues a...

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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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• $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...

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