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Securities Law Bundle - California CLE

25 Total Credits
w/ 5.75 Ethics & 1.25 Competence Issues & 1 Elimination Bias
Bundle Price:$495 (Save $680!)

We have selected our most popular lectures and bundled them together into our Securities Law Bundle. This Bundle contains 25 Credit Hours of CA CLE Lectures. All your mandated specialty hours including Elimination of Bias, Substance Abuse Prevention and Ethics are included. And don't worry, our CDs count as "Participatory" when accompanied by our witness affirmation forms, included FREE in your order! That means you can take all 25 credits with us!

One of the key Investigative Techniques used by the Financial Industry Regulatory Authority (FINRA) are on-the-record interviews (OTRs). This CLE course will discuss in detail the dynamics of FINRA OTRs and how to properly prepare and represent wit...

General Credits:1

Recent studies have shown that there has been a dramatic increase in impairment due to alcoholism, drug addiction and mental health disorders among members of the legal profession. The statistics are compelling and clearly indicate that 1 out of 3 a...

Competence Credits:1.25

The random comments that we make, the pronouns that we use, the jokes that we share, and the assumptions that we “innocently” state are slowly and cumulatively making our co-workers and clients very uncomfortable. Moreover, this behavior is likely c...

Elim. Bias Credits:1

The availability of venture capital has given many young companies the financial and advisory support needed help them grow into major corporations, while sparing them from the scrutiny and disclosure requirements demanded in the public markets. Cou...

General Credits:1.5

Attend this program to hear how to prepare for compliance with the consolidated audit trail. During this session, panelists discuss how to prepare for compliance with the consolidated audit trail (CAT), including, firm obligations, deadlines, and...

General Credits:1

Many lawyers may not fully understand the Bar rules and ethical considerations regarding client representation and make ethical mistakes regarding whether to take on a client representation, continue the representation, and terminating the represent...

Ethics Credits:1.5

Attend this session to hear about market regulation priorities, including current initiatives and rulemaking. This session provides updates on market regulation priorities, including current initiatives and rulemaking. FINRA panelists share thou...

General Credits:1

Attend this session to learn about the firm grouping structure and lessons learned during implementation. During this session, you will hear discussions around the firm grouping structure, lessons learned as a result of transformation, and what...

General Credits:1

A Practitioner’s Guide to the formation, filing and public offering of the securities of a Special Purpose Acquisition Company(SPAC), with forms. This CLE course provides insights, examples and explanations of the public offering process. The co...

General Credits:1.5

Attend this program to hear how to mitigate regulatory risk in addition to identifying opportunities to spend money wisely while fulfill their duties as officers of their firms. A strong compliance program does not have to be expensive to be ef...

General Credits:0.75

Our nation thrives on innovation. Any new idea is only as good as one’s ability move it from concept, through the initial startup phase, and into a scalable product or service to compete in the business cycle. Entrepreneurs, often with little mone...

General Credits:1.75

The COVID-19 pandemic significantly affected firms’ day-to-day operations across the securities industry, including requiring firms to transition most or all staff to remote work environments and implement remote supervisory practices. Join FINRA st...

General Credits:1

Attend this session to hear how regulatory experts are evaluating the rapidly changing world of digital communications to capture investors’ attention and influence their behavior. The panel discusses risks and benefits of gamification features...

General Credits:1

Attend this session to hear about recent and noteworthy fraud cases. This session focuses on recent or noteworthy fraud trends impacting the financial services industry. Panelists highlight emerging trends in financial frauds related to the broke...

General Credits:1

Attend this program to hear how firms are complying with Regulation Best Interest (Reg BI) and Form CRS (client relationship summary) rules. Join FINRA staff and industry panelists as discuss issues and observations about how firms are complying...

General Credits:1

Turnkey real estate investments have become extremely popular across the country for promoters and investors alike. The question is whether a turnkey real estate investment is nothing more than a vanilla real estate deal, or a security in disguise....

General Credits:1.25

This session provides an overview of new developments and trends in Enforcement, including Enforcement priorities. Panelists discuss how a matter finds its way to Enforcement and what happens while in Enforcement. Panelists highlight noteworthy...

General Credits:1

This CLE program will help you better understand cryptocurrency and the history behind such currency. Marshal Shichtman will discuss in layman’s terms, how virtual currency works, what it is, the legal and regulatory issues involved in digital token...

General Credits:1.25

Applying ethics rules during litigation is hard in normal times. Applying ethics rules in times of upheaval and downward pressure on fees is even harder. How has work-from-home increased compliance risk? How should we handle aggressive opposing coun...

Ethics Credits:3

This CLE Course will address the Professional Standards for Lawyers, and other Professionals in the Capital Markets and Financial Service Industry. It will include subjects such as legal opinions, advising the Board with r...

Ethics Credits:1.25
National Academy of Continuing Legal Education is an accredited provider in California, Provider #11481. Attorneys can earn all 25 hours with the National Academy of Continuing Legal Education. To view further accreditation details, please click here.


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