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
Total Credits:12.25
Ethics Credits:3.25
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. 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
Much of an attorney’s job is about getting the legal system to work for them, but there are still some lines that can’t be crossed. This CLE course will explain those lines and provide a comprehensive understanding of the Rules of Professional Condu...
Ethics Credits:1.5
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 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 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 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
CLE is voluntary for Maryland attorneys.
To view further accreditation details, please click here.
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