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Securities Law Bundle - California CLE

Total Credits:25 Ethics/Specialty Credits:7
Bundle Price:$495 (Save $755!)

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!

As all attorneys know or should know, every attorney is, ipso facto, an agent of each client, with concomitant fiduciary duties to the client. This CLE program provides a unique opportunity to understand the principles of agency law, giving attorney...

Ethics Credits:2.25

As lawyers, the most profound ethical issues we face generally arise not so much where the choice is between “good” and “bad,” or “right” and “wrong,” but, instead, where the issue compels us to choose between two (or sometimes more) competing “goo...

Ethics Credits:1.75

The investment management industry is under greater regulatory scrutiny than ever before. Combined with the threat of cyber breaches and an increase in investor activism, it is imperative for funds, broker-dealers and investment advisers to carefull...

General Credits:1.25

This CLE program provides guidance on identifying and responding to issues and concerns of clients who are or will soon be seniors. Statistics show that the population of persons aged 65 and older is growing at a dramatic pace. This population also...

General Credits:1

This CLE program provides guidance on suspicious activity monitoring and other hot topics in AML (anti-money laundering). There is no shortage of "hot topics" in the Anti-Money Laundering (AML) compliance. As the industry has taken a leading approac...

General Credits:1

This CLE program addresses key issues regarding compliance with the suitability rule. Panelists discuss key issues regarding compliance with the suitability rule. They provide practical advice on how firms and registered representatives can better...

General Credits:1

This CLE program provides guidance on useful practices for protecting customer information, what to do in the event of a data breach and tackling other cyber security situations. Every firm needs a cybersecurity program. Is your current plan as comp...

General Credits:1

This CLE program provides guidance on Customer Due Diligence Rule. Join FINRA Staff and industry experts as they discuss the proposed rule and steps firms can take to meet the requirements. After attending this session, you will be able to: Summa...

General Credits:1

This CLE session provides and overview of new developments and trends in enforcement, including enforcement priorities, as well as policy changes and clarifications, particularly regarding information requests. Panelists highlight noteworthy decisio...

General Credits:1

This CLE session focuses on ethical considerations and the significant competing interests that compliance professionals and securities attorneys face on a daily basis. Practitioners discuss the roles and responsibilities of compliance professionals...

Ethics Credits:1

This CLE program will highlight best practices related to the hiring and supervision of registered representatives in the retail space. After attending this session, you will: Understand effective practices for assessing risk when considering re...

General Credits:1

Have you been hearing about implicit bias and wondering what that means and if it affects you? Do you question whether the legal profession truly upholds justice and fairness for all? Maybe you’re just wondering what all the hullabaloo is about. In a...

Elim. Bias Credits:1

This CLE session provides insights and observations from FINRA staff and industry practitioners on the existing trading environment for the fixed income market. Panelists will discuss the current state of liquidity within various fixed income produc...

General Credits:0.75

While outsourcing is an activity or function that a third-party service provider performs to assist an organization, an outsourcing arrangement does not relieve firms of their ultimate responsibility for compliance with all applicable laws and secur...

General Credits:1

This CLE program provides information regarding current fraud schemes from the front line regulators. After attending this session, you will be able to: Understand emerging trends in securities fraud and identify potential threats. Identify pote...

General Credits:1

This CLE program provides guidance on steps firms can take to comply with their due diligence obligations. Panelists discuss the features of popular complex products and their role portfolio diversification. After attending this session, you will...

General Credits:1

This CLE program will highlight institutional fixed income and equity sales and trading compliance concerns and related risk controls. Compliance professionals in these business lines face an array of challenging issues, everything from conflicts o...

General Credits:1

Attend this CLE program to hear a discussion on hot legal cases and enforcement actions impacting AML programs. Does your AML program meet evolving expectations and address emerging money laundering risks? Join FINRA staff and industry experts as th...

General Credits:1

This CLE program will provide guidance on effective practices for monitoring outside business activities and supervising private securities transactions. FINRA panelists discuss common OBA deficiencies found during examinations. Panelists share effe...

General Credits:1

This CLE program provides efficient practices for the use of digital media. Join FINRA and industry social media and digital compliance experts as they discuss current and future trends. Topics will include how firms are addressing the compliance...

General Credits:1

This CLE program provides an overview of the roles and responsibilities of clearing and introducing firms. This session is intended to assist firms in making the most of the relationship with their clearing firm. Panelists discuss the roles and resp...

General Credits:1

This CLE program provides guidance on supervising independent contractors. This panel of FINRA staff and industry members addresses common challenges in supervising independent contractors. The session offers examples and suggestions for firms to u...

General Credits:1

Presented by seasoned attorney and acclaimed author on intervention Mick Meagher, Esq., this CLE course offers insight into identifying the signs of addiction within the accepted guidelines and how to define addiction and addictive behaviors. The co...

Sub. Abuse Credits:1
All courses offered by the National Academy of Continuing Legal Education are approved for CLE credit in California. National Academy of Continuing Legal Education is an accredited provider in California, Provider #11481. You can find our CLE provider listing on the California Bar website at: http://members.calbar.ca.gov/search/cert_detail.aspx?PID=11481&SpecCode=. California attorneys must take 25 CLE credits per cycle, at least 12.5 of which must be deemed “Participatory.” Attorneys can earn all 25 hours with the National Academy of Continuing Legal Education. Our online platform satisfies the participatory requirement. Additionally, courses that are taken on Audio CD, DVD, or MP3 download can also be considered participatory if accompanied by a witness affirmation form.


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