This website stores cookies on your computer. These cookies are used to collect information about how you interact with our website and allow us to remember you.
We use this information in order to improve and customize your browsing experience and for analytics and metrics about our visitors both on this website and other media.
To find out more about the cookies we use, see our Privacy Policy.
Dedicated CLE Manager
Online, iOS/Android, CD/DVD/USB, Webinars
Free Customized CLE Tracker
Accreditation and CLE Rules for New Jersey
The National Academy of Continuing Legal Education is a New Jersey Accredited CLE Provider.
New Jersey attorneys are required to take 24 credit hours every 2 years including 5 credit hours of Ethics and Professionalism, with a minimum of 2 credits of Diversity, Inclusion, and Elimination of Bias.
New Jersey attorneys can earn all 24 CLE credit hours with us including 5 credit hours of Ethics and Professionalism with a minimum of 2 credit hours of Diversity, Inclusion, and Elimination of Bias using our DVDs, Audio CDs, USB Stick, Online, iOS/Android App, and Live Webinar courses.
*CLE Rule Update: The New Jersey CLE Board has revoked the Covid exception and reinstated the Live CLE requirement in NJ effective 1/1/2024. Additionally, NJ has amended the CLE Regulations with BCLE Reg. 103:1(n) and expanded the definition of Live Instruction. Our Live Interactive webinars meet this definition of Live CLE in NJ. Therefore all NJ attorneys can satisfy their entire requirement with our DVDs, Audio CDs, USB Stick, Online, iOS/Android App, and Live Webinar courses.
Live Exemption: NJ rule 201:8(a) states that attorneys who reside in, work in, and are licensed in a mandatory CLE jurisdiction that does not require Live CLE are also exempt from Live CLE for NJ. These attorneys can take all 24 credits of their requirement with on-demand courses.
See our NJ Non-Resident Bundles.
Each active New Jersey attorney is permanently assigned to one of two compliance groups for CLE purposes.
Group 1 is attorneys with birthdays in January through June and must complete their CLE by 12/31 every odd numbered year (12/31/2023, 12/31/2025, etc…)
Group 2 is attorneys with birthdays in July through December and must complete their CLE by 12/31 every even numbered year (12/31/2022, 12/31/2024, etc…)
Newly Admitted Attorneys in New Jersey must complete 24 credits of approved CLE in their first full two-year compliance period. Of the 24 credits at least 5 credits must be in Ethics/Professionalism, of which at least 2 must be in Diversity, Inclusion, and Elimination of Bias.
Additionally, 16 credits must be in any 6 of the following 12 subject areas:
New Jersey Basic Estate Administration,
New Jersey Basic Estate Planning,
New Jersey Civil or Criminal Trial Preparation,
New Jersey Family Law Practice,
New Jersey Real Estate Closing Procedures,
New Jersey Trust and Business Accounting,
New Jersey Landlord/Tenant Practice,
New Jersey Municipal Court Practice,
New Jersey Administrative Law,
New Jersey Labor and Employment Law,
New Jersey Worker's Compensation Law,
and New Jersey Law Office Management.
A minimum of one credit must be taken in New Jersey attorney trust & business accounting fundamentals. NJ Newly Admitted Attorneys can satisfy all of their credit hours with us using our DVDs, Audio CDs, USB Stick, Online, iOS/Android App, and Live Webinar courses.
Supreme Court of New Jersey Board on Continuing Legal Education
PO Box 965
Trenton, NJ 08625-0965
Phone: (609) 815-2930 https://www.njcourts.gov/attorneys/cle
Institutional Sales and Trading Compliance Concerns: 2017 FINRA Annual Conference
CLE Courses Available on DVDs, Audio CDs, USB Stick, Online & iOS/Android App and Live Webinars!
General Credits
1
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.