Securities Law Bundle - Maryland CLE

We have selected our most popular lectures and bundled them together into our Securities Law Bundle. This Bundle contains 12 Credit Hours of MD CLE Lectures - Including 9 General Credits and 3 Ethics Credits.

CLE Courses Available on DVDs, Audio CDs, USB Stick, Online & iOS/Android App!

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12
Credit Hours
of CLE Lectures
Save $305
Only $295
Save $305
Courses priced individually at $600
  • Includes 2 Ethics

Securities Law Bundle Includes:

  • $50

    Recognizing and Handling Conflicts of Interest

    Ethics Credits: 1

    This CLE course will provide critical information and guidance regarding conflicts of interest, including screening for conflicts and addressing different types of conflicts, including simultaneous representation of clients, representing multiple clients, engaging in business transactions with cli...

  • $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...

  • $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

    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

    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

    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...

  • $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

    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...

  • $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

    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

    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

    Ethical Considerations Regarding Hourly Billing and More

    Ethics Credits: 1

    This CLE program offers a comprehensive overview of essential billing practices for attorneys. The course is designed to equip participants with a thorough understanding of fundamental billing procedures, the governing rules and regulations related to billing in the legal field, and practical time-...

12
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 $295
Save $305
Courses priced individually at $600

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