Securities Law Bundle - New York CLE

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, 1 Credit Hour of Diversity and 1 Credit Hour of Cyber.

CLE Courses Available on DVDs, Audio CDs, USB Stick, Online & iOS/Android App!

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24
Credit Hours
of CLE Lectures
Save $705
Only $495
Save $705
Courses priced individually at $1,200
  • 5 Ethics
  • 1 Cyber/Ethics
  • 1 Diversity/Inclusion

Securities Law Bundle Includes:

  • $100

    Safeguarding Your Business & Investment Clients with Proactive Asset Protection & Estate Planning

    General Credits: 2

    An effective Asset Protection & Estate Planning Program for Business & Investment Clients should address family and legacy considerations, complete asset protection and tax optimization simultaneously. In addition, it should be easy to use, capable of expanding through time to embrace growth in yo...

  • $75

    Overhaul of Regulatory Capital Requirements Proposed By US Banking Regulators

    General Credits: 1.5

    The US federal banking regulators have jointly proposed extensive revisions to the regulatory capital requirements for [midsize and] larger US banking organizations. The revisions are lengthy and would change the requirements for credit, market, and operational risk. Some of the revisions are l...

  • $50

    Compliance and Legal Trends

    General Credits: 1

    Join industry leaders as they discuss trends, key focus areas and strategies that are shaping the industry. Panelists share insights on how these changes will affect compliance, and how firms are evolving and responding to business, regulatory and technology issues.

  • $50

    Market Structure: Current Developments and Future Trends

    General Credits: 1

    During this session, panelists discuss current developments in market structure, including order handling, order routing and execution quality disclosure, and other developments for fixed income and equity securities. This session will discuss: Discuss current developments and future trends in...

  • $50

    Current Issues Under Regulation Best Interest and Form CRS

    General Credits: 1

    In an ongoing dialogue, regulators and industry practitioners come together to delve into a wide array of current topics and delve deep into the valuable lessons learned through their experiences with Reg BI (Regulation Best Interest) and Form CRS (Customer Relationship Summary). This collaborative...

  • $75

    The Ethics of Witness Preparation: Does ABA Ethics Rules Change the Dynamics for Preparing Witnesses?

    Ethics Credits: 1.5

    Our panelists, highly experienced trial and litigation specialists, will discuss the impact of new ABA Formal Opinion 508, dealing with “The Ethics of Witness Preparation”. They will discuss the impact of the opinion on counsel’s approach to working with witnesses, including a client, to testify at...

  • $50

    Financial Responsibility Rules and Relevant Touchpoints

    General Credits: 1

    In this informative CLE course, panelists will discuss topics involving SEC and FINRA financial responsibility rules, including regulatory obligations of introducing, intermediary, carrying and clearing firms under FINRA Rule 4311; SEA Rule 17a-4; and other topics including liquidity and fully-paid...

  • $50

    Current Trends and Threats in Financial Crimes

    General Credits: 1

    In this CLE session, Deputy Director Abbate and Under Secretary Nelson discuss the latest developments in financial crimes and illicit finance risk including new and emerging threats related to money laundering, fraud, securities fraud, cyber-crime, digital assets and sanctions.

  • $50

    Ethics in the Digital Era: What Attorneys Need to Know

    Cyber/Ethics Credits: 1

    Law firms are facing challenges in safeguarding against and dealing with data breaches. With the introduction of Ethical Rules of Conduct, as well as your state's professional conduct regulations for lawyers, and the actual possibility of financial and other penalties, it's imperative that you reco...

  • $50

    Emerging Developments in Artificial Intelligence for Lawyers

    General Credits: 1

    Artificial Intelligence is becoming ubiquitous in legal practice. New tools and new providers emerge constantly. Lawyers need to understand artificial intelligence in order to represent their clients competently and effectively. Lawyers also need to understand the use of AI in order to compete....

  • $50

    Ask FINRA Senior Staff

    General Credits: 1

    During this CLE program, FINRA senior staff provide updates on key regulatory issues. Panelists address questions relating to FINRA’s risk-based examination program, disciplinary actions, market regulation programs and new and anticipated rules, among other topics.

  • $75

    The Ten Worst Ethics Nightmares You Can Have

    Ethics Credits: 1.5

    This program will be a rapid analysis of the 10 disastrous errors you can make in the world of Legal Ethics that will give you nightmares or even derail your career. These groups of errors are not totally inclusive of the challenges that face a modern practitioner but anyone who is actively eng...

  • $50

    Being a DEIA Agent of Change in The Legal Workplace and Beyond

    Diversity/Inclusion Credits: 1

    Being a DEIA Agent of Change in the Legal Workplace and Beyond is an introductory course to Diversity, Equity, Inclusion and Accessibility (DEIA) concepts and initiatives from a legal perspective. The course begins by discussing the definition of DEIA and related concepts. The course also provi...

  • $50

    Analyzing the Right and Ethical Way to Prepare Witnesses in Criminal Cases

    Ethics Credits: 1

    Both prosecutors and criminal defense lawyers have professional and ethical obligations to zealously represent their clients. However, they must also comply with rules of professional conduct address candor and honesty with the tribunal. How can these lawyers serve both of these masters when it c...

  • $50

    Ethics in Modern Day Legal Practice: The Current Hot Ethical Topics Found in Client Grievances and Malpractice Suits

    Ethics Credits: 1

    This CLE course focuses on the latest trends in ethics found in modern day legal practice. While focusing on the rules that govern attorney conduct, the course explores application of the rules to the ever changing landscape of practice. Specific addressment includes preservation of electronic data...

  • $50

    Navigating the SEC and CFTC Whistleblowing Programs

    General Credits: 1

    This CLE course provides an overview of the CFTC, SEC, and IRS whistleblower programs, with a focus on the basics of eligibility, anonymity, and the whistleblowing process. The course will cover the analysis of potential whistleblower claims and the necessary steps for filing a whistleblower claim...

  • $50

    The Firm Perspective on Monitoring and Protecting Against Financial Crimes

    General Credits: 1

    Join panelists for a comprehensive discussion on financial crimes from the firms' perspective. This CLE session covers a variety of tactics, red flags and mitigation strategies associated with fraud, insider trading, cybersecurity and money laundering. This session will discuss: Effective pract...

  • $50

    Capital Formation: Current Regulatory Landscape and Challenges

    General Credits: 1

    Attend this session to learn more about the regulatory landscape, potential challenges, and resources for firms as it relates to capital formation. This CLE program will discuss: Discuss current regulatory landscape Discuss challenges and obstacles from firm perspective Resources for firms

  • $50

    Hot Topics in Municipal Securities and Other Fixed Income

    General Credits: 1

    This CLE program covers an assortment of key considerations surrounding fixed income securities including exam priorities, common findings and enforcement actions, fixed-income rulemaking, and an update on SEC Rule 15c2-11. This CLE program will discuss: Review of recent enforcement actions rela...

  • $75

    The Case Against Tipper X

    General Credits: 1.5

    lmagine the following: lt is the morning of a normal workday for you and millions of others who live in New York City. You go to the gym for a workout and run some errands before heading to the office. Unexpectedly, two FBI agents approach you on the sidewalk, flash their badges - in public view - a...

  • $50

    Common Issues with Navigating the Changing Landscape of Multistate Taxation of Crypto Currency & Crypto Based Companies

    General Credits: 1

    State Taxation varies across every state in the United States. Specifically at a State and Local Tax (SALT) level, every jurisdiction has its own tax code and tax treatment for various applications. For example, the way California may classify revenue from a certain company is not the same as Texas...

24
Credit Hours
of CLE Lectures

CLE Your Way, Anywhere!
DVDs, Audio CDs, USB Stick, Online & iOS/Android App included at no extra charge!

Course Media Options
Only $495
Save $705
Courses priced individually at $1,200

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