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Securities Law Bundle - Connecticut CLE

Total Credits:12.25 Ethics Credits:3.25
Bundle Price:$295 (Save $330!)

We have selected our most popular lectures and bundled them together into our Securities Law Bundle. This Bundle contains 12 Credit Hours of CT CLE Lectures - Including 9 General Credits and 3 Ethics Credits.

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

This informative CLE course will provide a complete overview of professional responsibility issues that may arise for in-house counsel on a day-to-day basis. The course will explain the rules that govern privileged information, e-discovery, contact...

Ethics Credits:1.5

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:1

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 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 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 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 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
National Academy of Continuing Legal Education is an accredited sponsor of CLE across the United States. Attorneys licensed in the Connecticut may earn all 12 credit hours through the National Academy of CLE using our Online, DVD and Audio CD formats.


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