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

Hot Topics in FinTech

SKU: SEC019 Back to Course Listings

About This Course

Join FINRA staff and industry practitioners as they discuss the growing area of FinTech (Financial Technology). The session includes a discussion on new and innovative ways firms are integrating fintech into their business models and the importance of a strong compliance structure to address regulatory obligations.

After attending this session, you will be able to:

Gain a perspective on how “FinTech” is defined by various industry stakeholders
Discuss the supervisory challenges of technology development
Better understand the benefits and concerns of customer engagement through platform design
Recognize potential threats to firms and customers in a technology-based environment

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

Lecturers for this Course

Steven Price Alan Carlisle Robert Chao Nicole Murphy

Lecturer Bios

Steven Price

Steven Price is Senior Vice President who oversees FINRA’s National Cause Program, which was created in 2020 to consolidate the intake and investigation of matters based on triggering events or regulatory intelligence across the U.S. He also participates in multiple organizational committees and initiatives designed to establish FINRA as a leader in regulatory vision and to advance the protection of investors.

Mr. Price rejoined FINRA in April 2020 after spending the previous 12 years in multiple roles overseeing broker-dealer compliance and operations for ALPS Distributors and ALPS Portfolio Solutions Distributor.

Mr. Price formerly served in the enforcement units of FINRA and the Colorado Division of Securities, as well as serving on the Colorado Securities Board. Prior to his regulatory roles, Mr. Price was a market maker at the Chicago Board Options Exchange and a litigator with concentration across civil and criminal matters

Alan Carlisle

Alan Carlisle is Enterprise Chief Compliance Officer at SoFi and is responsible for the oversight of the compliance management program for SoFi Technologies, Inc. (Ticker: SOFI) and all of its subsidiaries. With almost 25 years of experience in the financial services industry and capital markets, Mr. Carlisle has worked with a broad array of broker dealer business models, including FinTech, Independent, Retail and Institutional firms.

His expertise lies in design and implementation of risk and compliance controls, application of existing regulatory frameworks to innovative technologies, and assessing the overall strengths and weaknesses of compliance approach and discipline. He holds the Series 4, 7, 9, 10, 24, 27, 53, 55, 63, 65, 79 and 99 securities licenses, as well as the CRCP® , CRCM, CAMS, CAFP, CGSS, CIPP/US, CIPM, CCIM, and LEED AP BD+C/O+M credentials.

Robert Chao

Robert Chao is Senior Director, FINRA Member Supervision. He is responsible for firms in the Retail-Fintech and Retail-Carrying and Clearing groups. Mr. Chao is currently on the Correspondent Clearing committee, eFocus Redesign committee, and the Behavioral Science Working Group within FINRA.

He was formerly a Surveillance Director and an Examination Director and has been at FINRA since 2009. Mr. Chao joined FINRA from UBS Financial Services, Inc., where he worked from 2007 to 2009, serving as a Director responsible for financial and regulatory reporting.

Prior to joining UBS, he was a Vice President in the Finance group at J.P. Morgan Securities Inc. He was with the NYSE from 1994 to 1997 as an Examiner in Member Firm Regulation. Mr. Chao received his Bachelor of Science in Finance at New York University and was previously a registered principal holding series 7, 9/10, and 27 licenses.

Nicole Murphy

Nicole Murphy is Chief Compliance Officer for Cash App Invest LLC and has served in this capacity since October 2021. In this role, she is responsible for overseeing regulatory compliance and supervision for the continuously evolving and innovative broker-dealer within a broader fintech organization.

Ms. Murphy is also Cash App Invest’s AML Officer and serves on several internal committees. Since joining the industry in 2007, Ms. Murphy has contributed to the Retail and Operations business units at TD Ameritrade and TD Ameritrade Clearing and the Regulatory Relations organization at E*TRADE and Morgan Stanley. Ms. Murphy received her Bachelor of Arts degree from Creighton University where she majored in Philosophy with a comajor in Political Science. She also currently holds her Series 7, 63, and 24 licenses.

Spend less and get more

Get the courses that you need and the forms completed in days — not weeks or months.

Dedicated CLE Manager

Quality help from a responsive CLE expert dedicated to assisting you.

Riveting Content & an Exceptional Library

Experience outstanding presenters.

Free Customized CLE Tracker

Keep crystal clear records of your courses and credits.

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

Learn at your pace, in the format that you prefer.

Discover the Nacle Difference

Want Different Options?

For a custom suite of courses, our custom CLE option satisfies your CLE cycle requirements in one easy step.

Customize Options

Subscribe for Course Updates and News

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

Please fix the following errors:

Email:

Admitted State:

Admitted in more than one state?

Bar/Reg/ID #

Leave blank if you don't have one or wish to provide it later

Admitted States:

For even more customized results, please provide your name and phone number (optional).

First Name (optional):

Last Name (optional):

Phone (optional):

We promise to respect your privacy.

You have successfully been added to our mailing list!

Accreditation and CLE Rules for New York

Hot Topics in FinTech

About This Course

After attending this session, you will be able to:

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

Use the form below to select the states where you have been admitted to the bar. You may also provide your bar number for each state.

Admitted State:

For even more customized results, please provide your name and phone number (optional).

You have successfully been added to our mailing list!

Chat With a CLE Specialist

Use the form below to send a message to our team of highly-trained CLE Specialists. Or call us at 212-776-4943.

Your message has been sent to our team of CLE Specialists. We will get back to you shortly!