New York CLE - All Courses
This is a listing of CLE Courses for New York. Please make your selection below of New York CLE courses. Click "Add To Cart" to purchase Individual CLE Courses. For more information about a particular CLE course, click on the "More Info" link. Click the "Preview" button to view a short preview of the course.
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Client Intakes: Tips for Effective Sign-Ups
Never underestimate the power of a first impression. That’s what a client intake is! For both you and your client. It’s the initial event that sets the tone for the (often) long-term relationship you enter with that perspective client. It’s also the time for you to begin considering case strategy, deposition preparation, and potential evidence. All this assumes you even want to take on this case, which you may not. This program will explore and highlight the core aspects of a new client intake... More Info
$501Prof Practice -
Post-Pandemic Bankruptcy Mediation: A New Chapter and New Solutions
A panel of Bankruptcy experts, led by Hon. Elizabeth Stong and former Judge Melanie Cyganowski will discuss the use of mediation to settle Bankruptcy proceedings, with a particular emphasis post pandemic solutions. Our speakers will provide an overview of Bankruptcy Proceedings, with an emphasis on the areas that are particularly appropriate for mediation. Then, they will conduct a “Master Class,” demonstrating how a Fraudulent Conveyance Mediation unfolds, followed by a Round-table... More Info
$1753.5Skills Credits -
Change is the Only Constant: Foreclosure Statute of Limitations, Trial Practice, and Covid-19 Procedures
Due to the Covid-19 pandemic, and the fact that New York foreclosures have largely been in a dormant state for over a year, chances are you may have taken your eyes off recent developments. However, newly imposed court procedures, Administrative Orders, and significant case law from the Appellate Divisions and Court of Appeals, have changed how foreclosures will be handled once the moratoriums are fully lifted. This CLE provides foreclosure Plaintiff and Defendant attorneys with import... More Info
$751.5Prof Practice -
Consolidated Audit Trail
Attend this program to hear how to prepare for compliance with the consolidated audit trail. During this session, panelists discuss how to prepare for compliance with the consolidated audit trail (CAT), including, firm obligations, deadlines, and resources. The panel also provides an update on the CAT National Market System (NMS) Plan. After attending this session, you will be able to: Review industry test release updates Discuss upcoming key dates Summarize how to prepare and... More Info
$501Prof Practice -
Enforcement Developments
This session provides an overview of new developments and trends in Enforcement, including Enforcement priorities. Panelists discuss how a matter finds its way to Enforcement and what happens while in Enforcement. Panelists highlight noteworthy decisions and settlements that illustrate FINRA priorities and provide a view into the process. Panelists also provide guidance on regulatory and compliance practices. More Info
$501Prof Practice -
Regulation Best Interest and Form CRS: Recent Observations and What to Expect
Attend this program to hear how firms are complying with Regulation Best Interest (Reg BI) and Form CRS (client relationship summary) rules. Join FINRA staff and industry panelists as discuss issues and observations about how firms are complying with the rules. Panelists share what they are seeing during compliance examinations, effective practices, and resources available to help firms comply with future initiatives. After attending this session, you will be able to: Discuss... More Info
$501Prof Practice -
Doing More With Less: Challenges of a Small Firm Compliance Department
Attend this program to hear how to mitigate regulatory risk in addition to identifying opportunities to spend money wisely while fulfilling their duties as officers of their firms. A strong compliance program does not have to be expensive to be effective but needs commitment from all levels. Join FINRA staff and industry practitioners for a discussion on mitigating regulatory risks and determining how to more effectively allocate resources when establishing and maintaining an effecti... More Info
$501Prof Practice -
Ethical Considerations in Conducting Investigations
Investigations by lawyers are an essential element of most litigation matters. Ethics rules make it clear what lawyers can say and do and they also outline what investigators can do on the attorney’s behalf. This CLE presentation will provide a strong understanding of the ethical issues involved in conducting investigations. The course will address the following topics: Understanding what investigators can and cannot do Knowing the difference between ethical violations and crimina... More Info
$501Ethics Credit -
FINRA’s Examination and Risk Monitoring Program
Attend this session to learn about the firm grouping structure and lessons learned during implementation. During this session, you will hear discussions around the firm grouping structure, lessons learned as a result of transformation, and what firms can expect going forward. After attending this session, you will be able to: Understand new organizational structures in the Exam, Specialist and Risk Monitoring Programs Discuss Risk Monitoring activities Discuss what firms can... More Info
$501Prof Practice -
Fraud Detection and Prevention
Attend this session to hear about recent and noteworthy fraud cases. This session focuses on recent or noteworthy fraud trends impacting the financial services industry. Panelists highlight emerging trends in financial frauds related to the brokerage industry, provide tips to identify potential “red flags,” and discuss what to do if a fraudulent scheme is suspected. After attending this session, you will be able to: Understand emerging trends in this new COVID environment in sec... More Info
$501Prof Practice