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New Admit Securities Law w/Webinars - New York CLE

16 Total Credits
w/ 6 Skills & 3 Ethics & 7 PP/LPM
Bundle Price:$349

This bundle will satisfy all 16 hours for 1st or 2nd year Newly Admitted attorneys with On-Demand and Live Webinar transitional courses. The bundle contains 7 credits of On-Demand Professional Practice courses and includes a 9 hour Live Webinar pass that can be used at any of our Bridge the Gap events for your 6 Skills and 3 Ethics credit requirement.

Join FINRA staff and industry experts as they review legal cases and enforcement actions impacting AML programs. Panelists will cover regulatory trends, potential vulnerabilities, and how you can address any pitfalls in your AML program. Upon com...

PP Credits:1

This CLE program will discuss recent rule changes made in response to the FAIR Act, recent regulatory issues raised by communications about digital assets and customer transaction accounts, a summary of Regulation Best Interest, and advertising issu...

PP Credits:1

This CLE will focus on the latest regulatory updates and due diligence obligations and effective practices in connection with sales of alternative investments; including: Private Placements, Online Distribution Platforms, Finders, Real Estate Inves...

PP Credits:1

This CLE program will focus on the key issues regarding FINRA’s suitability Rule 2111 and the SEC’s Proposed Regulation Best Interest Rule, including a review of their differences. Panelists provide practical advice on how firms and registered rep...

PP Credits:1

Join FINRA staff and industry representatives as they discuss how recent developments in financial technology (FinTech) are disrupting the securities industry. Topics include RegTech (regulatory technology), artificial intelligence, identity authent...

PP Credits:1

This CLE will highlight some of the changes that Enforcement has recently implemented to its business process. Panelists will also discuss developments and trends in enforcement, including enforcement priorities and the principles that guide Enforc...

PP Credits:1

Join FINRA staff and industry experts as they explain how a FINRA rule becomes a regulation. Panelists give an inside look into how the FINRA Retrospective Rule Review process works and how rules are selected for review. Panelists will also preview...

PP 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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