Securities Law Bundle - Massachusetts CLE

We have selected our most popular lectures and bundled them together into our Securities Law Bundle. This Bundle contains 12 Credit Hours of MA 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

    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...

  • $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 -...

  • $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

    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...

  • $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

  • $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...

  • $50

    Current Trends and Threats in Financial Crimes

    General Credits: 1

    In this CLE session, Deputy Director Abbate and Under Secretary Nelson discuss the latest developments in financial crimes and illicit finance risk including new and emerging threats related to money laundering, fraud, securities fraud, cyber-crime, digital assets and sanctions.

  • $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...

  • $50

    Market Regulation and Transparency Services Priorities: What You Need to Know

    General Credits: 1

    During this CLE session, FINRA staff discuss updates to market regulation and transparency priorities related to equities, options and fixed income compliance programs. This session will discuss: Discuss updates on market regulation and transparency priorities, including current initiatives and...

  • $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...

  • $50

    Ethics in the Digital Era: What Attorneys Need to Know

    Ethics Credits: 1

    Law firms are facing challenges in safeguarding against and dealing with data breaches. With the introduction of Ethical Rules of Conduct, as well as your state's professional conduct regulations for lawyers, and the actual possibility of financial and other penalties, it's imperative that you reco...

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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