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Securities Law Bundle - New Jersey CLE

Total Credits:12 Ethics Credits:1
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 NJ CLE Lectures - Including 1 Credit Hour of Ethics. Simply click the "Buy Now" button and checkout!

This CLE session provides insights and observations from FINRA staff and industry practitioners on the existing trading environment for the fixed income market. Panelists will discuss the current state of liquidity within various fixed income produc...

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. Statistics show that the population of persons aged 65 and older is growing at a dramatic pace. This population also...

General Credits:1

This CLE program provides guidance on suspicious activity monitoring and other hot topics in AML (anti-money laundering). There is no shortage of "hot topics" in the Anti-Money Laundering (AML) compliance. As the industry has taken a leading approac...

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 useful practices for protecting customer information, what to do in the event of a data breach and tackling other cyber security situations. Every firm needs a cybersecurity program. Is your current plan as comp...

General Credits:1

This CLE session focuses on ethical considerations and the significant competing interests that compliance professionals and securities attorneys face on a daily basis. Practitioners discuss the roles and responsibilities of compliance professionals...

Ethics 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 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 o...

General Credits:1

Attend this CLE program to hear a discussion on hot legal cases and enforcement actions impacting AML programs. Does your AML program meet evolving expectations and address emerging money laundering risks? Join FINRA staff and industry experts as th...

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 an overview of the roles and responsibilities of clearing and introducing firms. This session is intended to assist firms in making the most of the relationship with their clearing firm. Panelists discuss the roles and resp...

General Credits:1

This CLE program provides guidance on supervising independent contractors. This panel of FINRA staff and industry members addresses common challenges in supervising independent contractors. The session offers examples and suggestions for firms to u...

General Credits:1
National Academy of Continuing Legal Education is a NJ Accredited CLE Provider. You can see our official approval letter here: NACLE NJ Approval Letter. NJ Attorneys may earn 12 out of the 24 CLE credit hours from National Academy of Continuing Legal Education, including all 4 Legal Ethics credits through either Online CLE, DVDs, Audio CDs and may earn all 24 credit hours with these formats if they are exempt from the Live Course requirement. Rule 201:3. Carryover. A total of twelve credit hours may be carried over to a subsequent compliance period.


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