Securities Law Bundle Includes:

• $50

  Current Trends and Threats in Financial Crimes

  Law & Legal Proc. 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.

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• $50

  Form CRS: Practical Considerations for Attorneys

  Law & Legal Proc. 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...

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• $50

  The Inside Scoop on Insider Threats and Cybersecurity

  Law & Legal Proc. Credits: 1

  This highly informative CLE session will delve into the multifaceted nature of insider and related cyber threats. In an increasingly interconnected digital landscape, it is vital for organizations to comprehend the compounding risks posed by these threats, understand where they can manifest, and pr...

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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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• $50

  Promoting Market Integrity: FINRA’s Role in Market Structure

  Law & Legal Proc. 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

  Cybersecurity and Data Privacy Obligations for Lawyers

  Law & Legal Proc. Credits: 1

  This CLE course will focus on cyber threats to the legal community, why hackers find lawyers to be productive targets, the costs of data breaches, and a lawyers cybersecurity obligations, including in the context of ESI. This course will include discussions on general ethical responsibilities o...

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• $50

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

  Law & Legal Proc. 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

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

  Law & Legal Proc. 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...

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• $50

  Private Placements: The Latest Regulatory Developments and Compliance Considerations

  Law & Legal Proc. Credits: 1

  Join panelists as they perform a deep dive into private placement regulatory developments including regulatory notice 23-XX as well as compliance obligations and best practices related to Reg BI, sales materials, due diligence, conflicts of interest and more. This session will discuss: Review r...

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• $75

  The Case Against Tipper X

  Law & Legal Proc. 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 -...

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• $50

  Antitrust Merger Enforcement: Significant Regulatory Developments and Issues Explored

  Law & Legal Proc. Credits: 1

  This CLE course provides an in-depth overview of the US merger control process, antitrust agency priorities, forthcoming revisions to the US merger guidelines, and highlights of recent merger challenges. The course is designed to give attorneys a comprehensive understanding of the current state of...

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• $75

  Intellectual Warfare: An In-House Counsel's Guide to Bringing and Defending Against Intellectual Property Lawsuits

  Law & Legal Proc. Credits: 1.5

  In this CLE presentation, the Instructor will discuss strategies for identifying valuable intellectual property within one’s organization and how to effectively use that IP for the organization’s business goals. The Instructor will cover the types of IP that exist, the approximate costs in obt...

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• $50

  Current Issues Under Regulation Best Interest and Form CRS

  Law & Legal Proc. 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...

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• $50

  Corporate Transparency Act: Critical Terms and Concepts

  Law & Legal Proc. Credits: 1

  The Corporate Transparency Act went into effect January 1, 2024, under which the beneficial owners of almost every entity will need to be reported to FinCEN unless a specific statutory exception applies. Existing entities will have one year to comply, while newly formed entities will have only 90...

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• $50

  The Mediator's Toolkit: 15 Strategies Towards A Successful Mediation

  Law & Legal Proc. Credits: 1.25

  Mediation has been called an art and not a science. It is true that there is not one specific way to conduct a mediation. However, there are tried-and-true methods for facilitating a successful mediation. That success will be determined by the attainment of Win-Win by both parties. This CLE pro...

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• $75

  Overhaul of Regulatory Capital Requirements Proposed By US Banking Regulators

  Law & Legal Proc. 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...

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• $50

  Technology Governance: Mitigating Risk Throughout the Vendor Lifecycle

  Law & Legal Proc. 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

  Developments in Remote Supervision

  Law & Legal Proc. 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

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

  Law & Legal Proc. 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

  Conflicts of Interest in the Financial Services Industry: What Every Attorney Needs to Know

  Law & Legal Proc. 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

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

  Law & Legal Proc. 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

  Fixed Income Securities Regulatory Outlook

  Law & Legal Proc. 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

  The Progression of Regulation Best Interest and Form CRS

  Law & Legal Proc. 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

  The Latest in Private Placement Sales Oversight

  Law & Legal Proc. 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

  FINRA's Disciplinary Hearing Process

  Law & Legal Proc. 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

  Modernizing Off-Channel Communications Supervision

  Law & Legal Proc. 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

  Crypto Assets: Trends, Regulatory Developments and Resources

  Law & Legal Proc. 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

  Ask FINRA Senior Leaders

  Law & Legal Proc. 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

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

  Law & Legal Proc. 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...

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• $50

  Financial Crimes: Outpacing the Threats

  Law & Legal Proc. 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

  Ethical Referral Fees: A 50 State Survey

  Ethics Credits: 1

  When done correctly, fee sharing is not only ethical–it leads to better outcomes for clients. This CLE program will survey the various regulatory frameworks utilized by states concerning referral fees with the goal of providing lawyers with working understanding of how to employ this tool to benefi...

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• $50

  Compliance and Legal Trends in The Financial Industry

  Law & Legal Proc. 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

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

  Equity 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...

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• $50

  Market Structure: Current Developments and Future Trends

  Law & Legal Proc. 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...

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• $50

  Prosecutors and Restitution: Navigating Ethical Challenges

  Ethics Credits: 1

  In many criminal cases, crime victims are desperately injured and dramatically inconvenienced in a long, confusing, and challenging legal process. The road to recovery physically, legally, emotionally, and personally can be hard. In those exact same cases, criminal defendants face their own serie...

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• $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...

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• $50

  Leveraging Regulatory Technology for Your Firm

  Law & Legal Proc. 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...

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• $50

  Hot Topics in Municipal Securities and Other Fixed Income

  Law & Legal Proc. 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...

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• $50

  Compliance and Legal Trends

  Law & Legal Proc. Credits: 1

  Join industry leaders as they discuss trends, key focus areas and strategies that are shaping the industry. Panelists share insights on how these changes will affect compliance, and how firms are evolving and responding to business, regulatory and technology issues.

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• $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...

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• $50

  All's Fair In The Rules of Professional Conduct: Threats and Fees

  Ethics Credits: 1.25

  This CLE course will address the rules of professional conduct as it relates to fairness with a focus on two components: threats and fees. Part one will address threatening to present, participate in presenting, or presenting criminal or professional disciplinary charges to obtain an advantage in...

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