Self Study Securities Law Bundle - Missouri CLE

We have selected our most popular lectures and bundled them together into our Securities Law Bundle. This Bundle contains 6 Credit Hours of CLE Lectures.

MCLE Courses Available on DVDs, Audio CDs, USB Stick, Online & iOS/Android App and Live Webinars!

Course Media Options

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6
Credit Hours
of CLE Lectures
Save $61
Only $189
Save $61
Courses priced individually at $250

Self Study Securities Law Bundle Includes:

  • $50

    Compliance and Legal Trends in The Financial Industry

    General Credits: 1.2

    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

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

    General Credits: 1.2

    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

    Fixed Income Securities Regulatory Outlook

    General Credits: 1.2

    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: 1.2

    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

    Financial Crimes: Outpacing the Threats

    General Credits: 1.2

    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...

6
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 $189
Save $61
Courses priced individually at $250

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