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Securities CLE Course Catalog

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All CLE Courses For Securities

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44 minutes
cc
Key SEC Cases, Legislation and Regulatory Outlook for Digital Assets and Cryptocurrency
A panel of leading experts discusses the government's intensified efforts against money laundering and fraud in the digital assets and cryptocurrency space, highlighting significant litigation involving Ripple, Terraform, and Coinbase, and emphasizing the need for regulatory clarity in the crypto industry.

Securities Docket

$75

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8 Credit States

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45 minutes
cc
Insider Trading Trends, Cases and Prosecutions in 2024
Industry experts discuss the SEC and DOJ’s prioritization of insider trading cases, focusing on individuals and companies handling material non-public information, leveraging data analytics, and emphasizing strong compliance programs to prevent such behavior.

Securities Docket

$75

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9 Credit States

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45 minutes
cc
SEC Practice 360 Degrees - Managing Each Stage of an SEC Administrative Proceeding or Litigation
Experts in securities enforcement discuss the SEC's aggressive enforcement stance, focusing on significant trials, virtual and hybrid testimony, gatekeeper and individual liability, compliance sweeps, data analytics, and the impact of the Supreme Court on administrative proceedings.

Securities Docket

$75

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8 Credit States

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45 minutes
cc
The SEC Ramps Up its Scrutiny of Asset Managers, Broker-Dealers and Other Financial Firms
A panel of experts discusses issues such as electronic communications use, cooperation, and managing an investigation. Firms are advised to prepare for upcoming regulatory changes, prioritize implementing quick changes, and focus on staying ahead of industry changes and technology.

Securities Docket

$75

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9 Credit States

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45 minutes
cc
Insider Trading Trends - Key Cases and Enforcement Priorities
Insider trading enforcement is evolving, with a focus on data analytics and communication channels. Firms must actively prevent insider trading and enforce barriers, though preventing misuse of information by employees can be difficult. Panelists discuss recent cases and trends in enforcement.

Securities Docket

$75

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8 Credit States

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45 minutes
cc
Masterclass - How to Keep the SEC From Suing Your Client
Counsel plays a huge role in helping clients avoid SEC lawsuits by addressing business issues, implementing procedures, and being proactive in compliance efforts. In-house counsel and client presence in SEC presentations, remedial efforts, and cooperation can aid in an SEC investigation.

Securities Docket

$75

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9 Credit States

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43 minutes
cc
The Impact of AI on Securities Enforcement, Regulation, Compliance and Practice
AI is greatly impacting securities enforcement, regulation, compliance, and practice, requiring companies and regulators to address associated risks and challenges. This panel discusses the increasing risks and regulations around AI in finance. Experts discuss best practices.

Securities Docket

$75

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9 Credit States

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45 minutes
cc
Cybersecurity, Climate and More - The SEC's Active Rulemaking Agenda and its Impact on Issuers and Regulated Entities
In this course, securities law experts and SEC officials discuss the SEC's new rules to enhance cybersecurity disclosure, enforcement, and governance, requiring companies to report cyber incidents within four days and provide annual reports on governance and risk management.

Securities Docket

$75

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9 Credit States

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46 minutes
cc
Digital Assets and Cryptocurrency Update - Trends in Regulation and Enforcement
Navigating the regulatory world of digital assets/cryptocurrency is essential for businesses. Expert panelists discuss the SEC's application of existing securities law to crypto, recent cases like Ripple and XRP lawsuit, and the increasing scrutiny on digital asset offerings.

Securities Docket

$75

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8 Credit States

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