Accreditation and CLE Rules for New York

The National Academy of Continuing Legal Education is an Accredited NYS CLE Provider. The NY CLE Board maintains an Accredited Provider directory on their website. You can find us listed on the most recent directory at http://www.nycourts.gov/attorneys/cle/aplist.pdf.

Experienced NY are required to take 24 credit hours every 2 years including 4 credit hours of Ethics and 1 credit hour of Diversity, Inclusion and Elimination of Bias and 1 credit of Cybersecurity, Privacy and Data Protection.

NY attorneys can earn all 24 CLE credit hours with us using our DVDs, Audio CDs, USB Stick, Online, and iOS/Android App courses.

*Beginning on July 1, 2023, experienced attorneys are now required to take at least 1 CLE credit in the category of Cybersecurity, Privacy and Data Protection in each compliance period. This new requirement applies to all attorneys due to re-register on or after July 1, 2023 (birthday is on or after July 1st). Please note that this does not change the total amount of credits required in your CLE period, the total requirement remains at 24 credits.

Experienced NY attorneys are required to complete their requirement every 2 years by their birthday with a 30 day automatic grace period. Attorneys admitted to practice in even years are due on even years and attorneys admitted in odd years are due in odd years.

New York attorneys must report that they are CLE compliant on their biennial registration form and must retain proof of compliance for a minimum of four years. National Academy of CLE issues a NY CLE Certificate of Attendance for all CLE activities as proof of compliance and we store the certificate in your CLE Account indefinitely.

Newly admitted attorneys are required to take "transitional” courses (designed to help them develop a foundation in the essential skills to practice law) 16 credits each year for the first two years following their admission to the Bar. The 16 credits must consist of 3 Ethics credits, 6 Skills credits, and 7 Law Practice Management (LPM) or Professional Practice (PP) credits. Newly admitted attorneys must complete their CLE requirement in a format permissible for the category of credit. For more information please click here.

Newly admitted attorneys must complete each of their two 16 credit requirements by the first and second anniversaries of admission respectively.

*COVID-19 Update: In response to concerns related to the spread of the COVID-19 Coronavirus the NYS CLE Board has temporarily suspended the live in-person requirement for Newly Admitted attorneys. You now have until 6/30/2024 to earn both your Skills and Ethics credits through our livestream webinars. You can see the official notice about the temporary live requirement exception here.

Newly admitted attorneys can satisfy all 16 credit hours with us using our on-demand PP & LPM courses and our Live Webinar Skills and Ethics courses. You can see our Bridge The Gap options here: NY BTG CLE.

Effective July 1, 2023, Newly admitted attorneys must complete at least 1 CLE credit hour in the Cybersecurity, Privacy and Data Protection CLE category of credit as part of their newly admitted cycle requirement (1 credit of Cyber in any of your first 2 years). The new requirement is for attorneys admitted to the NY Bar on or after July 1, 2023.

New York State CLE Board
25 Beaver Street, 11th Floor
New York, NY 10004
(t) 212-428-2105
(f) 212-428-2188
http://www.nycourts.gov/attorneys/cle/index.shtml

Mark-Up Disclosure Requirements

SKU: FIN8000 Back to Course Listings

About This Course

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 price. Panelists share their perspectives on effective practices and helpful tips they have identified. Upon completion of this CLE program you will be able to: discuss the latest MSRB guidance concerning mark-up disclosure requirements.

*This course qualifies as a Transitional course and can be taken by both Experienced and Newly Admitted attorneys in NY.

Lecturers for this Course

Cynthia Friedlander Michael L. Post, Esq. Michael Nouri, Esq. Alexander Ellenberg, Esq.

Lecturer Bios

Cynthia Friedlander

Cynthia Friedlander is the Director of Fixed Income Regulation within FINRA Member Regulation. Ms. Friedlander is responsible for directing FINRA’s policies and national programs related to fixed income securities, including related regulatory matters in FINRA District Offices. Specifically, she is responsible for the design, development and delivery of fixed income policy guidance to staff throughout FINRA, as well as to member firms, and is one of FINRA’s primary representatives in fixed income regulatory matters with the Municipal Securities Rulemaking Board (MSRB) and the Securities and Exchange Commission (SEC).

Ms. Friedlander represents FINRA at government agency, SRO, and industry and advisory meetings, and is a staff liaison to FINRA’s Fixed Income Committee. She holds a bachelor’s degree from the University of Virginia and a master of business administration from George Mason University.

Michael L. Post, Esq.

Michael L. Post is General Counsel-Regulatory Affairs of the Municipal Securities Rulemaking Board (MSRB), where he is a legal and policy advisor to the MSRB and its Board of Directors. He manages the development of regulations governing municipal securities dealers and municipal advisors in support of a fair and efficient municipal securities market. Prior to joining the MSRB in 2013 as Deputy General Counsel, Mr. Post served for more than 10 years at the U.S. Securities and Exchange Commission. From 2007 to 2009, he was counsel to former Chairs Christopher Cox and Mary Schapiro, assisting with the development and implementation of an agency-wide regulatory agenda. In that capacity,

Mr. Post advised on a broad range of legal, policy and management issues arising primarily out of the Divisions of Trading and Markets and Enforcement as well as the Office of the General Counsel and Office of Municipal Securities. He also assisted with the SEC’s response to the financial crisis of 2008. From 2009 until 2013, Mr. Post served as a senior appellate litigator in the SEC Office of the General Counsel, representing the SEC in the Circuit Courts of Appeals and U.S. Supreme Court in matters arising out of rulemakings, enforcement actions and adjudications as well as the SEC’s amicus curiae program. He is a recipient of the Manuel F. Cohen Outstanding SEC Younger Lawyer Award from the Securities Law Committee of the Federal Bar Association. Earlier in his career, he was an associate in the Supreme Court and Appellate Litigation Group at Sidley, Austin, Brown & Wood LLP, and a law clerk on the U.S. Court of Appeals for the Tenth Circuit. Mr. Post earned a bachelor’s degree from the University of California, Los Angeles, and a juris doctor, with high honors, from the George Washington University Law School, where he was a senior editor of the Law Review.

Michael Nouri, Esq.

Michael Nouri is Principal Analyst, Fixed Income Regulation within FINRA Member Supervision. Mr. Nouri is a key policy contact within FINRA for the coordination of fixed income securities regulation, examination, and enforcement. He also serves as a FINRA liaison to federal agencies and other SROs that regulate fixed income securities. Prior to joining FINRA, Mr. Nouri practiced as bond counsel for a regional law firm in Kansas City, Missouri where he advised municipalities on tax-exempt bond issuances and other transactions. He received a B.A. in Economics from Vanderbilt University and a J.D. from the University of Missouri – Kansas City.

Alexander Ellenberg, Esq.

Alex Ellenberg is Associate General Counsel in FINRA’s Office of General Counsel. Mr. Ellenberg works with others in the Office to develop and interpret FINRA rules and to provide legal and policy advice to FINRA management and staff. His work focuses in particular on matters related to market structure, market integrity, and order and trade reporting for equity, options, and fixed income securities. Mr. Ellenberg worked previously in the SEC’s Division of Trading and Markets and in private practice, and he received a J.D. from Cornell Law School and a B.A. from the University of Pennsylvania.

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Accreditation and CLE Rules for New York

Mark-Up Disclosure Requirements

About This Course

Lecturers for this Course

Spend less and get more

Dedicated CLE Manager

Riveting Content & an Exceptional Library

Free Customized CLE Tracker

Online, Audio CD, DVD, iOS/Android App, USB Stick

Want Different Options?

Subscribe for Course Updates and News

Subscribe for Course Updates and News

Please provide us with your licensed state(s) so we can send you content relevant to you.

Select your admitted states

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