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Securities Law Bundle - Illinois CLE

Total Credits:30.25 Ethics/Specialty Credits:8.5
Bundle Price:$495 (Save $1,055!)

We have selected our most popular lectures and bundled them together into our Securities Law Bundle. This Bundle contains 30 Credit Hours of IL Approved CLE Lectures - satisfying all your professional responsibility requirements including 4 hours of ethics, one hour of diversity/inclusion and one hour of mental health/substance abuse.

It is important for all lawyers to stay abreast of ethical rules and considerations, but it can be especially tricky for small firm and solo practitioners who are in the trenches with client contact while also juggling firm management, business deve...

Ethics Credits:2.75

“Virtual currency,” “blockchain,” “smart contracts” – these words and phrases seem to be everywhere these days but do people really know what they mean. This CLE course will explain, in user-friendly terms, what virtual currency is, how it works a...

General Credits:1.75

Social Media has changed the way the people interact and share information in ways that seemed unthinkable a few years ago. This CLE course will explain the types of social media that exist and how they can be ethically used in your practice or as m...

Ethics Credits:1.5

This CLE program presented by attorney Norman Arnoff, will discuss Legal Malpractice, Fiduciary Duty in the legal profession and how the legal profession's concepts and standards of fiduciary duty can be adapted to the capital markets and the financ...

Ethics Credits:1.25

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...

Div Credits:1

This CLE program provides an overview of FINRA’s Communications With the Public rule, including the filing requirements, internal approval and supervision, and the content standards. FINRA panelists answer questions about how to apply the rules to f...

General Credits:1

Join FINRA staff and industry panelists as they discuss advertising compliance issues concerning registered investment companies, including mutual funds, ETFs and closed-end funds. The panel includes discussions on current trends, changes to FINRA R...

General Credits:1

How do small firms stay in compliance with the communications with the public rules? FINRA staff and industry panelists answer audience questions and provide practical tips and helpful guidance as well as how FINRA can help small firms navigate the...

General Credits:1

This panel will share in-depth information on issues ranging from FINRA’s senior initiative and the Securities Helpline for Senior, JOBS Act (Jumpstart Our Business Startups Act) developments including private placements, changes in fixed income reg...

General Credits:1

This CLE program addresses a wide range of topics drawn from recent enforcement cases, including supervisory procedures related to outside business activities, recent exams findings and the disciplinary process. They also highlight potential “red f...

General Credits:1

With ever-changing and expanding social media, it is important for attorneys to understand the ethical boundaries in case investigations and when collecting evidence. This CLE will review various issues of relevance, including wiretap laws, pretexti...

Ethics Credits:1

This CLE program discusses rules governing alternative investments, REITs and private placements. This session emphasizes the importance of understanding product features, characteristics and possible risks for purposes of suitability determinations...

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. Join representatives from regulatory agencies and firms to discuss rules and laws promulgated to assist firms in prot...

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 common deficiencies noted during FINRA cycle examinations of institutional firms, and issues that result in a cautionary letter. Industry practitioners discuss their experience during examinations and taking cor...

General Credits:1

This CLE program will provide guidance on the challenges facing compliance professionals. Separation of compliance and business supervision roles is becoming much more difficult. Join FINRA staff and industry practitioners as they discuss how their...

General Credits:1

This CLE program will include a discussion of common deficiencies noted during FINRA cycle examinations. The program will also provide guidance on taking corrective action and updating compliance procedures and practices based on lessons learned fr...

General Credits:1

This CLE session provides an overview of the newly restructured Enforcement department, including how the department works with examination and surveillance groups across FINRA to develop Enforcement matters. The session will highlight some of the...

General Credits:1

This CLE program provides guidance on implementing an effective risk-based branch office inspection program. After attending this session, you will be able to: Understand FINRA’s Member Regulation Department’s approach to executing risk-based cyc...

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 suspicious activity monitoring and investigations in AML (anti-money laundering). Panelists discuss how to establish and implement policies and procedures as well as obligations for firms. Attendees will gain an...

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 updates on market regulation priorities, including current initiatives and rulemaking. This session focuses on market regulation priorities and sweeps. Panelists will share thoughts on equities, options and fixed income com...

General Credits:1

This CLE program provides guidance on common deficiencies noted during FINRA examinations of medium and large firms.. Industry practitioners discuss taking proactive compliance measures and corrective action in response to examination deficiencies a...

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...

MH/SA Credits:1

This session focusses on business and regulatory developments related to the JOBS Act, including recent innovations around how firms conduct business online. FINRA and industry experts discuss how firms can stay in compliance as they conduct public...

General Credits:1

This CLE program uses sample ads – you will work in small groups analyzing for rule violations in the various sample ads and present your findings to the other workshop attendees. The moderators will present the regulatory perspective, clarify any m...

General Credits:1
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