Securities Law Bundle Includes:

• $50

  Ethical Duties When Representing Clients and Working on Client Files

  Ethics Credits: 1

  Many lawyers may not fully understand the Bar rules and ethical considerations regarding whether to take on a client representation, continue the representation, and/or terminate the representation (and everything in between). This CLE course will address some very important ethical considerati...

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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

  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

  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

  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

  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

  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

  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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