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Dedicated CLE Manager
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Accreditation and CLE Rules for Florida
The National Academy of Continuing Legal Education is a Florida Bar Accredited CLE Sponsor (Sponsor # 0185716).
Florida attorneys must complete a minimum of 30 credit hours of approved continuing legal education activity every 3 years. Five of the 30 credit hours must be in approved "professional responsibility" programs which includes ethics, professionalism, bias elimination, substance abuse, and mental illness awareness programs, and at least 1 of the 5 hours must be an approved professionalism program. Additionally, 3 of the 30 credit hours must be in approved technology programs. Attorneys with deadlines on or after 4/30/2024 will also need to take a new 2 credit Professionalism course provided directly by the Florida Bar at no extra charge.
Florida attorneys can earn all 30 hours including 5 hours of professional responsibility, 1 hour or professionalism and 3 hours of technology with our DVDs, Audio CDs, USB Stick, Online, and iOS/Android App courses. Preapproved courses offered by the National Academy of Continuing Legal Education have been directly approved by The Florida Bar and come with unique Florida Bar course codes which enables easy and quick reporting. “Self-Report” courses come with prefilled forms for easy self-reporting to the FL Bar.
Each Florida attorney and FRP is assigned a 3 year compliance period that ends on the last day of their designated month. You can find your compliance date by logging into your Florida Bar Profile.
Florida Registered Paralegals (FRP’s) must complete a minimum of 30 hours of CLE every three years to maintain their status. Of the 30 hours, 5 hours must be in ethics or professionalism and three 3 hours must be in technology. FRP's can satisfy all 30 mandated continuing education hours with our preapproved DVDs, Audio CDs, USB Stick, Online, and iOS/Android App courses since they are directly approved by The Florida Bar.
**The Supreme Court of Florida amended Bar Rule 6-10.3(b) (Minimum Hourly Continuing Legal Education Requirements), effective January 8, 2024, to:
Reduce the overall CLE requirement for attorneys from 33 to 30 hours per reporting cycle.
Require Bar members to complete a two-hour legal professionalism course produced by The Florida Bar and approved by this Court during each reporting cycle. This two-hour course, which the Bar will offer free of charge, replaces the existing one-hour professionalism program requirement.
Remove “bias elimination” from the requirement that “[a]t least 5 of the 30 credit hours must be in approved legal ethics, professionalism, substance abuse, or mental health and wellness programs.” Courses in “bias elimination” that meet The Florida Bar’s general course approval requirements will continue to count toward fulfilling Bar members’ overall 30-hour CLE requirement, but such courses will no longer count toward fulfillment of the five-hour sub-requirement specified in the rule.
The Florida Bar
651 E. Jefferson St.
Tallahassee, FL 32399-2300
(t) 850-561-5842
(f) 850-561-9421
Web: Florida Bar CLE Page
Institutional Sales and Trading Compliance Concerns: 2017 FINRA Annual Conference
CLE Courses Available on DVDs, Audio CDs, USB Stick, Online & iOS/Android App!
General Credits
1
Self-Report
For Access To This Course
About This Course
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 of interest to rogue and manipulative activity, which present varying levels of risk to their firms. After attending this session, you will be able to understand the business issues and regulatory concerns they confront on a daily basis and the most effective controls to minimize those risks.
After attending this session, you will be able to:
Understand the types of controls that can be used to mitigate risk associated with the various conflicts of interest that can exist within and across business lines as well as those arising from employee activities.
Discuss industry practices for supervising the operation of a firm’s institutional trading and the impact inadequate supervision and controls can have in terms of impacting the firm’s institutional business operations and the operations of other related departments.
Identify common practices, procedures and policies.