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Securities Law Bundle - New York CLE

24 Total Credits
w/ 4.5 Ethics & 1.5 Diversity/Inclusion
Bundle Price:$495 (Save $705!)

We have selected our most popular lectures and bundled them together into our Securities Law Bundle. This Bundle contains 24 Credit Hours of NY CLE Lectures - Including 4 Credit Hours of Ethics and 1 Credit Hour of Diversity.

This CLE Course will address the Professional Standards for Lawyers, and other Professionals in the Capital Markets and Financial Service Industry. It will include subjects such as legal opinions, advising the Board with r...

Ethics Credits:1.5

A Practitioner’s Guide to the formation, filing and public offering of the securities of a Special Purpose Acquisition Company(SPAC), with forms. This CLE course provides insights, examples and explanations of the public offering process. The co...

General Credits:1.5

One of the key Investigative Techniques used by the Financial Industry Regulatory Authority (FINRA) are on-the-record interviews (OTRs). This CLE course will discuss in detail the dynamics of FINRA OTRs and how to properly prepare and represent wit...

General 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...

General Credits:1

In the current legal landscape, the long term success of a law firm no longer solely depends on client relationships and big wins. Diversity and Inclusion are essential. Diverse attorneys are needed to attract, retain, and service an increasingly di...

Div Credits:1.5

Outside business activities (OBAs) and private securities transactions (PSTs) are regulatory and examination priorities, as they can both result in conflicts of interest that firms must understand and, as necessary, mitigate. Join industry practitio...

General Credits:1

This CLE lecture will focus on the impact civility or the lack thereof has on everyday practice. From interactions with clients, opposing counsel, judges and courtroom staff, the rules of professional conduct require lawyers to act civilly. This lec...

Ethics Credits:1.5

Many lawyers may not fully understand the Bar rules and ethical considerations regarding client representation and make ethical mistakes regarding whether to take on a client representation, continue the representation, and terminating the represent...

Ethics Credits:1.5

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...

General Credits:1

This CLE program will provide an overview on the four principal business entities – Corporations, Limited Liability Companies, General Partnerships and Limited Partnerships. Business lawyers Eli Greenberg and Mark Silverstein will discuss organizing...

General Credits:1.5

With catastrophes impacting businesses on a regular basis across the country, whether man-made or natural disasters – hurricanes, wild fires, earthquakes, and so on - it is critical for the corporate attorney or litigator to be familiar with insuranc...

General Credits:1.5

Effective corporate governance and oversight is critical for any corporation to mitigate the possibility of governmental prosecutions and enforcement actions, but what exactly does this term mean and what does it require? This presentation will atte...

General Credits:1.5

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...

General Credits:1

This CLE program will focus on the rapidly changing world of digital marketing and communications. The panel will cover a variety of topics, which will illustrate how to stay on top of this constantly evolving area. Upon completion of this CLE, you...

General Credits:1

Join FINRA staff as they share helpful insight on identifying and assessing activity of registered representatives as high risk and how that intelligence can be more broadly used to assess risk across and within branch offices. Upon completion, you...

General Credits:1

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 pric...

General 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...

General 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...

General 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...

General Credits:1

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...

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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