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Securities Law Bundle - Georgia CLE

Total Credits:6.1 Ethics/Specialty Credits:2.1
Bundle Price:$169 (Save $131!)

We have selected our most popular lectures and bundled them together into our Securities Law Bundle. This Bundle contains 6 Credit Hours of CLE Lectures including 1 hour of Ethics and 1 hour of Professionalism.

This CLE program will focus on the key issues regarding FINRA’s suitability Rule 2111 and the SEC’s Proposed Regulation Best Interest Rule, including a review of their differences. Panelists provide practical advice on how firms and registered rep...

General Credits:1

All lawyers should aspire to meet the highest ethical standards. All lawyers should and must also satisfy their minimal legal duties to their client. This CLE presentation discusses how to do both, and presents a simple framework to meet aspiratio...

Prof Credits:1

The ethical obligations that attorneys must uphold may be complicated, never more so than when it’s your client who is blurring the lines. This CLE course will explain ethical codes of competence, candor, confidentiality and diligence. The course wi...

Ethics Credits:1.1

Join FINRA staff and industry experts as they review legal cases and enforcement actions impacting AML programs. Panelists will cover regulatory trends, potential vulnerabilities, and how you can address any pitfalls in your AML program. Upon com...

General Credits:1

This CLE will highlight some of the changes that Enforcement has recently implemented to its business process. Panelists will also discuss developments and trends in enforcement, including enforcement priorities and the principles that guide Enforc...

General Credits:1

This CLE will focus on the latest regulatory updates and due diligence obligations and effective practices in connection with sales of alternative investments; including: Private Placements, Online Distribution Platforms, Finders, Real Estate Inves...

General Credits:1
National Academy of CLE is a provider of CLE courses in Georgia, approved by the Georgia Commission on Continuing Lawyer Competency, sponsor #3730. To view our full accreditation details, please click here.


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