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NY New Admit Securities Law Bundle - New York CLE

Total Credits:7
Bundle Price:$199 (Save $151!)

The New York State CLE Board adopted changes to the requirement for newly admitted attorneys. Effective January 1, 2016, newly admitted attorneys can satisfy Law Practice Management and Professional Practice credit in any approved format including non participatory formats such as on-demand audio or video. This bundle contains 7 hours of accredited transitional courses in areas of Professional Practice and Law Practice Management.

This CLE program discusses rules governing alternative investments, REITs and private placements. This session emphasizes the importance of understanding product features, characteristics and possible risks for purposes of suitability determinations...

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. Join representatives from regulatory agencies and firms to discuss rules and laws promulgated to assist firms in prot...

General Credits:1

This CLE program provides guidance on common deficiencies noted during FINRA cycle examinations of institutional firms, and issues that result in a cautionary letter. Industry practitioners discuss their experience during examinations and taking cor...

General Credits:1

This CLE session provides an overview of the newly restructured Enforcement department, including how the department works with examination and surveillance groups across FINRA to develop Enforcement matters. The session will highlight some of the...

General Credits:1

This CLE program provides guidance on implementing an effective risk-based branch office inspection program. After attending this session, you will be able to: Understand FINRA’s Member Regulation Department’s approach to executing risk-based cyc...

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 updates on market regulation priorities, including current initiatives and rulemaking. This session focuses on market regulation priorities and sweeps. Panelists will share thoughts on equities, options and fixed income com...

General Credits:1
The National Academy of Continuing Legal Education is an Accredited NYS CLE Provider. To view our full accreditation details, please click here.


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