Securities CLE Course Catalog

Navigating SEC-related criminal investigations requires very careful consideration. With the increasing frequency of parallel DOJ investigations, panelists discuss how clients should respond to such investigations. Experts discuss latest trends in joint investigations.

A panel of securities law experts, including SEC officials, discusses the latest trends and in insider trading enforcement actions. Discussion of new technological advances, 10b5-1 trading plans, and recent cases. Panelists offer proactive measures and client takeaways.

Expert crypto lawyers and senior SEC officials discuss how the regulation and enforcement of cryptocurrency are currently under scrutiny, with a focus on SEC investigations and enforcement actions. The SEC's Crypto Assets and Cyber Unit has seen significant growth, focusing on cases involving fraud, registration issues, and market manipulation within the crypto space.

Panelists discuss the need for regulatory agencies to come together to create clear rules for the industry, recent cases including the Ripple case, and key trends in the court system relating to crypto currency.

Ransomware attacks drive heightened SEC and NYDFS scrutiny, necessitating swift data breach reporting and legal adherence. Sector-specific trends are highlighted by experts, emphasizing the urgency of compliance and transparent communication for stakeholders navigating evolving threats.

Join experienced securities litigation practitioners Michael Lindh (Cornerstone Research) and Angela M. Liu (Dechert LLP), who will dissect and deliberate the paramount challenges and opportunities within securities law. By scrutinizing recent litigation cases, regulatory modifications, and ever-shifting market dynamics, attendees will be equipped with invaluable insights to not just keep pace but thrive within the ever-evolving landscape of securities litigation.

Listen as experienced securities lawyers Debra A. Jenks, Esq. (Debra A. Jenks, P.A.) and Meredith Jowers Lees (Rumberger, Kirk & Caldwell, P.A) as they provide a comprehensive discussion of the latest trends and developments in FINRA arbitration. Speakers, among other things, will also offer critical steps and strategies in this rapidly evolving legal climate.

In this program, securities lawyer Heather B. Middleton (Riker Danzig LLP) and commercial litigator Peter J. Tepley (Rumberger Kirk) will discuss the significant updates and key issues surrounding FINRA arbitration. The distinguished speakers will also share practical tips to prepare you for a FINRA arbitration case.

Listen as experienced economic consultants Simona Mola and Kyla Wethli from Cornerstone Research provide a comprehensive discussion of the latest regulations and enforcement trends concerning executive compensation.