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Online Courses

Practice Area: Securities


We currently have 29 courses in this practice area. Next Next


Regulation D Offerings and Private Placements 2017
Integration of Exempt and Other Offerings | On the Regulatory Menu: Regulation Crowdfunding; Regulation A+; Delayed and Continuous Offerings; State Crowdfunding, IntrastateRegional Offerings and Expanded Rule 504 and the Death of Rule 505; Regulation S; Rule 701

This online video program was originally presented on March 16, 2017, as part of the ALI CLE program, "Regulation D Offerings and Private Placements 2017".

Speakers: Messrs. Dunn and Gomez, Ms. Seidt and Messrs. Gomez, Martin and Price, Ms. Anderson and Messrs. Dunn and Gomez, Mr. Gomez and Mss. Anderson and Seidt, Mr. Berkeley and Mr. Robbins

More Information: Integration of Exempt and Other Offerings | On the Regulatory Menu: Regulation Crowdfunding; Regulation A+; Delayed and Continuous Offerings; State Crowdfunding, IntrastateRegional Offerings and Expanded Rule 504 and the Death of Rule 505; Regulation S; Rule 701Course Brochure   More Information: Integration of Exempt and Other Offerings | On the Regulatory Menu: Regulation Crowdfunding; Regulation A+; Delayed and Continuous Offerings; State Crowdfunding, IntrastateRegional Offerings and Expanded Rule 504 and the Death of Rule 505; Regulation S; Rule 701More Info Preview Preview Add to Cart Add to Cart  $299.00

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Regulation D Offerings and Private Placements

  Course Has Ethics Credit

This online video program was originally presented on March 16, 2017.

Speakers: Messrs. Dunn, Martin, and Robbins, Messrs. Berkeley, Dunn, Gomez, Martin and Robbins, Messrs. Dunn and Gomez, Ms. Seidt and Messrs. Gomez, Martin and Price, Ms. Anderson and Messrs. Dunn and Gomez, Mr. Gomez and Mss. Anderson and Seidt, Mr. Berkeley and Mr. Robbins, Messrs. Berkeley and Price and Mss. Anderson and Seidt, Messrs. Kretschmer and Souza, Mr. Dunn and Ms. Tierney, Mr. Robbins, Messrs. Martin and Robbins and Mss. Anderson and Seidt, and Robbins and Mss. Anderson and Tierney, Entire Faculty

More Information: Regulation D Offerings and Private PlacementsCourse Brochure   More Information: Regulation D Offerings and Private PlacementsMore Info Preview Preview Add to Cart Add to Cart  $999.00

To review MCLE information please click here.


SEC in 2017 - What's Next? SEC Veterans Weigh In

This online audio program was originally presented on March 9, 2017.

Speakers: Jay G. Baris, Andrew J. “Buddy” Donohue, Roberta Karmel, Robert Khuzami, Troy Paredes

More Information: SEC in 2017 - What's Next? SEC Veterans Weigh InCourse Brochure   More Information: SEC in 2017 - What's Next? SEC Veterans Weigh InMore Info Preview Preview Add to Cart Add to Cart  $199.00

Purchase this course in a custom CLE bundle

To review MCLE information please click here.


Life Insurance Company Products 2016: Featuring Current SEC, FINRA, Insurance, Tax, and ERISA Regulatory and Compliance Issues
Keynote Address | Evolving Capital Standards for Life Insurers and Their Effect on the Industry and Its Products | Recent Significant Litigation Challenging Federal Regulation of the Insurance and Financial Services Industries | Current SEC Examination Priorities

This online video program was originally presented on November 2, 2016, as part of the ALI CLE program, "Life Insurance Company Products 2016: Featuring Current SEC, FINRA, Insurance, Tax, and ERISA Regulatory and Compliance Issues".

Speakers: David W. Grim, Mss. Kappler and Shaff; Messrs. Lyons and Sells, Messrs. Ogden, Tayrani, and Wilkerson, Ms. Kelly; Messrs. Cohen and Joire

More Information: Keynote Address | Evolving Capital Standards for Life Insurers and Their Effect on the Industry and Its Products | Recent Significant Litigation Challenging Federal Regulation of the Insurance and Financial Services Industries | Current SEC Examination PrioritiesCourse Brochure   More Information: Keynote Address | Evolving Capital Standards for Life Insurers and Their Effect on the Industry and Its Products | Recent Significant Litigation Challenging Federal Regulation of the Insurance and Financial Services Industries | Current SEC Examination PrioritiesMore Info Preview Preview Add to Cart Add to Cart  $299.00

Purchase this course in a custom CLE bundle

To review MCLE information please click here.


Life Insurance Company Products 2016: Featuring Current SEC FINRA, Insurance, Tax, and ERISA Regulatory and Compliance Issues

  Course Has Ethics Credit

This online video program was originally presented on November 2, 2016.

Speakers: Ms. Clark; Messrs. Hershey and Young, Messrs. Caucci, Pfeifer, and Stuenkel, Mss. Ghaferi and Kent; Messrs. Giordano, Kotapish, and Marchesani, Ms. Hopper; Messrs. A. Kelly and Topetzes, Ms. Keating; Messrs. Gunderson, Hauser, Morrison, and Smith, Messrs. Weller, Griffin and Iwry, Mr. Jenkins; Mss. Black and Hyde, David W. Grim, Mss. Kappler and Shaff; Messrs. Lyons and Sells, Messrs. Ogden, Tayrani, and Wilkerson, Ms. Kelly; Messrs. Cohen and Joire, Mss. Blizzard and Epstein; Messrs. Davidson and Murphy, Mr. Das and Ms. Wingler

More Information: Life Insurance Company Products 2016: Featuring Current SEC FINRA, Insurance, Tax, and ERISA Regulatory and Compliance IssuesCourse Brochure   More Information: Life Insurance Company Products 2016: Featuring Current SEC FINRA, Insurance, Tax, and ERISA Regulatory and Compliance IssuesMore Info Preview Preview Add to Cart Add to Cart  $999.00

To review MCLE information please click here.


Life Insurance Company Products 2016: Featuring Current SEC, FINRA, Insurance, Tax, and ERISA Regulatory and Compliance Issues
Recent Regulatory and Litigation Developments Affecting Underlying Mutual Funds | Key Recent FINRA Developments Affecting the Marketing and Distribution of Insurance Products

This online video program was originally presented on November 2, 2016, as part of the ALI CLE program, "Life Insurance Company Products 2016: Featuring Current SEC, FINRA, Insurance, Tax, and ERISA Regulatory and Compliance Issues".

Speakers: Mss. Blizzard and Epstein; Messrs. Davidson and Murphy, Mr. Das and Ms. Wingler

More Information: Recent Regulatory and Litigation Developments Affecting Underlying Mutual Funds | Key Recent FINRA Developments Affecting the Marketing and Distribution of Insurance ProductsCourse Brochure   More Information: Recent Regulatory and Litigation Developments Affecting Underlying Mutual Funds | Key Recent FINRA Developments Affecting the Marketing and Distribution of Insurance ProductsMore Info Preview Preview Add to Cart Add to Cart  $299.00

Purchase this course in a custom CLE bundle

To review MCLE information please click here.


Life Insurance Company Products 2016: Featuring Current SEC, FINRA, Insurance, Tax, and ERISA Regulatory and Compliance Issues
Tech Finance Workshop | Recent Life and Annuity Product Design and Sales Trends and What Lies Ahead | Hot Button SEC Disclosure, Regulatory, and Accounting Issues for SEC Registered Products | Current SEC and FINRA Enforcement Priorities and Actions Affecting Insurance Products and Mutual Funds

This online video program was originally presented on November 2, 2016, as part of the ALI CLE program, "Life Insurance Company Products 2016: Featuring Current SEC, FINRA, Insurance, Tax, and ERISA Regulatory and Compliance Issues".

Speakers: Ms. Clark; Messrs. Hershey and Young, Messrs. Caucci, Pfeifer, and Stuenkel, Mss. Ghaferi and Kent; Messrs. Giordano, Kotapish, and Marchesani, Ms. Hopper; Messrs. A. Kelly and Topetzes

More Information: Tech Finance Workshop | Recent Life and Annuity Product Design and Sales Trends and What Lies Ahead | Hot Button SEC Disclosure, Regulatory, and Accounting Issues for SEC Registered Products | Current SEC and FINRA Enforcement Priorities and Actions Affecting Insurance Products and Mutual FundsCourse Brochure   More Information: Tech Finance Workshop | Recent Life and Annuity Product Design and Sales Trends and What Lies Ahead | Hot Button SEC Disclosure, Regulatory, and Accounting Issues for SEC Registered Products | Current SEC and FINRA Enforcement Priorities and Actions Affecting Insurance Products and Mutual FundsMore Info Preview Preview Add to Cart Add to Cart  $399.00

To review MCLE information please click here.


Life Insurance Company Products 2016: Featuring Current SEC, FINRA, Insurance, Tax, and ERISA Regulatory and Compliance Issues
The DOL Fiduciary Rule: Implementation and Compliance | Recent Treasury and IRS Developments Affecting Insurance Products | Innovative Fixed Rate and Indexed Annuity and Life Insurance Product Designs and Regulatory Developments

This online video program was originally presented on November 2, 2016, as part of the ALI CLE program, "Life Insurance Company Products 2016: Featuring Current SEC, FINRA, Insurance, Tax, and ERISA Regulatory and Compliance Issues".

Speakers: Ms. Keating; Messrs. Gunderson, Hauser, Morrison, and Smith, Messrs. Weller, Griffin and Iwry, Mr. Jenkins; Mss. Black and Hyde

More Information: The DOL Fiduciary Rule: Implementation and Compliance | Recent Treasury and IRS Developments Affecting Insurance Products | Innovative Fixed Rate and Indexed Annuity and Life Insurance Product Designs and Regulatory DevelopmentsCourse Brochure   More Information: The DOL Fiduciary Rule: Implementation and Compliance | Recent Treasury and IRS Developments Affecting Insurance Products | Innovative Fixed Rate and Indexed Annuity and Life Insurance Product Designs and Regulatory DevelopmentsMore Info Preview Preview Add to Cart Add to Cart  $299.00

Purchase this course in a custom CLE bundle

To review MCLE information please click here.


Accountants' Liability 2016: Emerging Challenges Facing the Profession

  Course Has Ethics Credit

This online video program was originally presented on September 22, 2016.

Speakers: Mr. Eickemeyer, Mr. Ceresney, Ms. Rendón Callahan and Messrs. Husich and Wright, Ms. Munter and Mr. Fiebig, Messrs. Hawke, Maloney, Schreiber, and Sorgen; and Ms. Koenigs, Plaintiffs’ Panel - Messrs. Lennon and Wallner Defense Panel – Mss. Cave and Coberly and Mr. Eickemeyer, Messrs. Farina and Hauben and Ms. Wine, Ms. Preheim and Messrs. Fine and Gordon, Mr. Univer, Mss. Rudolph, and Wood, Messrs. Mann and Roberts, and Ms. Savitt, Messrs. Mejia, Mixter, and Zubairi and Ms. McGuire, Mr. Keeley, Messrs. Modesti and Jama, Messrs. Herzog, Hubbell, and Eickemeyer, Ms. Jacobs and Mr. Morris, Messrs. Cheffers and Kueppers, Mr. Berger

More Information: Accountants' Liability 2016: Emerging Challenges Facing the ProfessionCourse Brochure   More Information: Accountants' Liability 2016: Emerging Challenges Facing the ProfessionMore Info Preview Preview Add to Cart Add to Cart  $999.00

To review MCLE information please click here.


Accountants' Liability 2016:
Emerging Challenges Facing the Profession
Current Developments and Course Overview | Keynote Address | Independence Issues | The PCAOB Inspection Program: From the Mouths of the Regulators | Auditing and Accounting Issues and Substantive Defense Strategies in SEC and PCAOB Proceedings

This online video program was originally presented on September 22, 2016, as part of the ALI CLE program, "Accountants' Liability 2016:
Emerging Challenges Facing the Profession"
.

Speakers: Mr. Eickemeyer, Mr. Ceresney, Ms. Rendón Callahan and Messrs. Husich and Wright, Ms. Munter and Mr. Fiebig, Messrs. Hawke, Maloney, Schreiber, and Sorgen; and Ms. Koenigs

More Information: Current Developments and Course Overview | Keynote Address | Independence Issues | The PCAOB Inspection Program: From the Mouths of the Regulators | Auditing and Accounting Issues and Substantive Defense Strategies in SEC and PCAOB ProceedingsCourse Brochure   More Information: Current Developments and Course Overview | Keynote Address | Independence Issues | The PCAOB Inspection Program: From the Mouths of the Regulators | Auditing and Accounting Issues and Substantive Defense Strategies in SEC and PCAOB ProceedingsMore Info Preview Preview Add to Cart Add to Cart  $299.00

Purchase this course in a custom CLE bundle

To review MCLE information please click here.


Accountants' Liability 2016:
Emerging Challenges Facing the Profession
In-House Counsel Speak | SEC and the Profession | Identifying and Minimizing Risks: The Life of a Chief Risk Officer | The PCAOB's Perspective | Reciprocal Discipline by States: Follow-on Actions by States after PCAOB, SEC, and Civil Actions

This online video program was originally presented on September 22, 2016, as part of the ALI CLE program, "Accountants' Liability 2016:
Emerging Challenges Facing the Profession"
.

Speakers: Messrs. Mann and Roberts, and Ms. Savitt, Messrs. Mejia, Mixter, and Zubairi and Ms. McGuire, Mr. Keeley, Messrs. Modesti and Jama, Messrs. Herzog, Hubbell, and Eickemeyer

More Information: In-House Counsel Speak | SEC and the Profession | Identifying and Minimizing Risks: The Life of a Chief Risk Officer | The PCAOB's Perspective | Reciprocal Discipline by States: Follow-on Actions by States after PCAOB, SEC, and Civil ActionsCourse Brochure   More Information: In-House Counsel Speak | SEC and the Profession | Identifying and Minimizing Risks: The Life of a Chief Risk Officer | The PCAOB's Perspective | Reciprocal Discipline by States: Follow-on Actions by States after PCAOB, SEC, and Civil ActionsMore Info Preview Preview Add to Cart Add to Cart  $299.00

Purchase this course in a custom CLE bundle

To review MCLE information please click here.


Accountants' Liability 2016:
Emerging Challenges Facing the Profession
Litigating an Accountants' Liability Case: Hear From Plaintiff and Defense Counsel | Alternative Dispute Resolution: Strategies for Meaningful Engagements | Whistleblowers and the Implications for Accounting Firms | Strategies for Working with Experts

This online video program was originally presented on September 22, 2016, as part of the ALI CLE program, "Accountants' Liability 2016:
Emerging Challenges Facing the Profession"
.

Speakers: Plaintiffs’ Panel - Messrs. Lennon and Wallner Defense Panel – Mss. Cave and Coberly and Mr. Eickemeyer, Messrs. Farina and Hauben and Ms. Wine, Ms. Preheim and Messrs. Fine and Gordon, Mr. Univer, Mss. Rudolph, and Wood

More Information: Litigating an Accountants' Liability Case: Hear From Plaintiff and Defense Counsel | Alternative Dispute Resolution: Strategies for Meaningful Engagements | Whistleblowers and the Implications for Accounting Firms | Strategies for Working with ExpertsCourse Brochure   More Information: Litigating an Accountants' Liability Case: Hear From Plaintiff and Defense Counsel | Alternative Dispute Resolution: Strategies for Meaningful Engagements | Whistleblowers and the Implications for Accounting Firms | Strategies for Working with ExpertsMore Info Preview Preview Add to Cart Add to Cart  $299.00

Purchase this course in a custom CLE bundle

To review MCLE information please click here.


Accountants' Liability 2016:
Emerging Challenges Facing the Profession
The Provisions and Perils of New PCAOB Guidance | Developments on the Horizon | Emerging Ethical Issues

  Course Has Ethics Credit

This online video program was originally presented on September 22, 2016, as part of the ALI CLE program, "Accountants' Liability 2016:
Emerging Challenges Facing the Profession"
.

Speakers: Ms. Jacobs and Mr. Morris, Messrs. Cheffers and Kueppers, Mr. Berger

More Information: The Provisions and Perils of New PCAOB Guidance | Developments on the Horizon | Emerging Ethical IssuesCourse Brochure   More Information: The Provisions and Perils of New PCAOB Guidance | Developments on the Horizon | Emerging Ethical IssuesMore Info Preview Preview Add to Cart Add to Cart  $299.00

Purchase this course in a custom CLE bundle

To review MCLE information please click here.


Retirement Plan Products and Services 2016: Collective Investment Trusts, Mutual Funds, and Beyond
A View from the Regulators: Guest Speakers from DOL, OCC, and SEC | Changing Business Landscape of Retirement Plan Products | The Regulatory Landscape: Impact of the New DOL Fiduciary Rule

This online video program was originally presented on May 13, 2016, as part of the ALI CLE program, "Retirement Plan Products and Services 2016: Collective Investment Trusts, Mutual Funds, and Beyond".

Speakers: Messrs. Champ, Kay, and Miller, Mss. Ennis and Lucas, Ms. Gattuso and Mr. M. Smith

More Information: A View from the Regulators: Guest Speakers from DOL, OCC, and SEC | Changing Business Landscape of Retirement Plan Products | The Regulatory Landscape: Impact of the New DOL Fiduciary RuleCourse Brochure   More Information: A View from the Regulators: Guest Speakers from DOL, OCC, and SEC | Changing Business Landscape of Retirement Plan Products | The Regulatory Landscape: Impact of the New DOL Fiduciary RuleMore Info Preview Preview Add to Cart Add to Cart  $149.00

Purchase this course in a custom CLE bundle

To review MCLE information please click here.


Retirement Plan Products and Services 2016: Collective Investment Trusts, Mutual Funds, and Beyond
Litigation Update | Collective Trust Funds | Mutual Funds and Annuities in the Retirement Marketplace

This online video program was originally presented on May 13, 2016, as part of the ALI CLE program, "Retirement Plan Products and Services 2016: Collective Investment Trusts, Mutual Funds, and Beyond".

Speakers: Mr. Fleckner, Messrs. Horn and D. Smith, Messrs. Kirsch, Melius, and D. Smith

More Information: Litigation Update | Collective Trust Funds | Mutual Funds and Annuities in the Retirement MarketplaceCourse Brochure   More Information: Litigation Update | Collective Trust Funds | Mutual Funds and Annuities in the Retirement MarketplaceMore Info Preview Preview Add to Cart Add to Cart  $149.00

Purchase this course in a custom CLE bundle

To review MCLE information please click here.


Retirement Plan Products and Services: Collective Investment Trusts, Mutual Funds, and Beyond

This online video program was originally presented on May 13, 2016.

Speakers: Messrs. Champ, Kay, and Miller, Mss. Ennis and Lucas, Ms. Gattuso and Mr. M. Smith, Mr. Fleckner, Messrs. Horn and D. Smith, Messrs. Kirsch, Melius, and D. Smith

More Information: Retirement Plan Products and Services: Collective Investment Trusts, Mutual Funds, and BeyondCourse Brochure   More Information: Retirement Plan Products and Services: Collective Investment Trusts, Mutual Funds, and BeyondMore Info Preview Preview Add to Cart Add to Cart  $249.00

Purchase this course in a custom CLE bundle

To review MCLE information please click here.


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Course credit will vary; specific information about MCLE credit is included in each course description. For general information about credit for online CLE in your state, go to ALI CLE's MCLE Information web page.