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North Dakota (ND) Securities CLE Course Catalog

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All CLE Courses For North Dakota (ND) Securities

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60 minutes
The Inside Track: Hearing from the Regulators on Key Issues
In an increasingly regulated business landscape, it is crucial for organizations to be prepared when regulators come knocking at their doors. Step into the regulatory realm as this session will provide an exclusive glimpse into the evolving landscape of legal compliance and unique insights directly from the source. Our distinguished panel of regulators will explore the priorities, trends, and expectations shaping regulatory frameworks for 2024 and beyond.

Women, Influence & Power in Law Conference

$65

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61 minutes
Adapting to Change: Litigation Trends Shaping 2024
With the rapid pace of change and ever-evolving regulatory landscape, the risk of litigation is even more prominent for businesses today. As litigation exposure continues to be a leading concern for in-house teams, it is more important than ever for legal professionals to understand current litigation trends so they can best adapt to and prepare for future changes. Panelists in this session will provide a comprehensive look at shifts in the litigation environment, and will provide actionable strategies for tackling these complex cases.

Women, Influence & Power in Law Conference

$65

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44 minutes
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Developments in SEC Rulemaking for Cybersecurity, Climate, Private Funds and More
A panel of experts discusses the SEC's active rulemaking agenda, emphasizing its impact on cybersecurity, private funds, ESG, SPACs, and other areas. The discussion focuses on deterring and detecting cyber threats, improving communication and visibility for cybersecurity incidents, and adapting to the evolving regulatory landscape.

Securities Docket

$75

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45 minutes
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SEC Enforcement and Regulation of Asset Managers, Broker-Dealers, Private Funds and Hedge Funds
A panel of experts discusses the heightened scrutiny and enforcement actions by the SEC against financial firms for compliance violations, emphasizing the need for policy and technological adjustments to mitigate risks and avoid penalties.

Securities Docket

$75

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45 minutes
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The Rise of AI and its Impact on Securities Enforcement, Regulation and Compliance
A panel of experts discusses how AI is transforming securities enforcement, regulation, compliance, and practice, examining the SEC's use of AI, proposed regulations, ethical concerns, and the need for firms to adapt policies and technologies to manage risks and comply with evolving standards.

Securities Docket

$75

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44 minutes
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SEC Enforcement of Issuer Disclosure, Financial Fraud and Auditors
A panel of leading experts discusses the critical importance of accurate financial disclosure and proactive measures to mitigate accounting fraud risks, emphasizing the increase in SEC enforcement actions, notable cases, and the need for stringent accounting controls.

Securities Docket

$75

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45 minutes
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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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45 minutes
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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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45 minutes
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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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