Maryland attorneys may take NACLE courses with our DVDs, Audio CDs, Online & iOS/Android App formats. CLE is voluntary for MD attorneys.
Maryland State Bar Association
520 W. Fayette St.
Baltimore, MD 21201
Phone: (410) 685-7878
(800) 492-1964
www.msba.org
Securities Law Bundle - Maryland CLE
12.25 Total Credits
w/ 3.25 Ethics
Bundle Price:$295
(Save $305!)
We have selected our most popular lectures and bundled them together into our Securities Law Bundle. This Bundle contains 12 Credit Hours of MD CLE Lectures - Including 9 General Credits and 3 Ethics Credits. RegTech (Regulatory Technology) is more than a buzzword, it is a real movement that is already having an impact on regulatory compliance. This CLE lecture will give you insight on innovative technologies being used to develop more effective, effici...
General Credits:1
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
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
Join FINRA staff as they share helpful insight on identifying and assessing activity of registered representatives as high risk and how that intelligence can be more broadly used to assess risk across and within branch offices. Upon completion, you...
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
Applying ethics rules to real-world litigation can be daunting. Your clients want you to push the limits. Technology speeds everything up. And every time you open the Law Journal it's filled with malpractice cases, fee battles, pay equity claims, di...
Ethics Credits:1.75
This CLE focuses on FINRA and MSRB mark-up disclosure requirements. Panelists discuss securities covered by the rule, when mark-up disclosure requirements are triggered and recent guidance on how to calculate mark-ups based on prevailing market pric...
General Credits:1
This CLE program is designed to give the trial lawyer/practitioner a real life sense of how to address rules of professionalism/ethics and civility in high stakes litigation, when your opponent’s zealous advocacy of his/her client’s interests can l...
Ethics Credits:1.5
This CLE program will highlight core regulations and best practices related to the supervision of institutional business activities. After attending this session, you will be able to understand the types of supervisory controls firms can implement t...
General Credits:1
Join FINRA staff and industry experts as they explain how a FINRA rule becomes a regulation. Panelists give an inside look into how the FINRA Retrospective Rule Review process works and how rules are selected for review. Panelists will also preview...
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
CLE is voluntary for Maryland attorneys.
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