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 and 1 Credit Hour of Diversity.

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
  • 4.5 Ethics
  • 1.5 Diversity/Inclusion
  • 1 Cybersecurity

Securities Law Bundle Includes:

  • $75

    Diversity and Race in Jury Selection

    Diversity/Inclusion Credits: 1.5

    This course will take a historical look at diversity and race in jury selection and how “all-white juries” have led to infamous miscarriages of justice throughout the years. We will also examine how the Supreme Court has addressed racial discrimination in jury selection from the 1880s to presen...

  • $50

    An Ethical Guide to Expert Witness Reports & Testimony

    Ethics Credits: 1

    Although the procedures for litigating a construction lawsuit is, on its face, an adversarial process, the American Bar Association has established Model Rules of Professional Conduct to provide guidance for lawyer conduct to follow while “seek[ing] a result advantageous to its client but consisten...

  • $50

    Restricted Firm Obligations: What You Need to Know

    General Credits: 1

    Join FINRA staff as they discuss Rule 4111 (Restricted Firm Obligations). During the session, panelists review the new obligation and criteria for identification. After attending this session, you will be able to: Review new obligations Identify controls, procedures, and processes that member...

  • $50

    Options Markets: Recent Regulatory Issues

    General Credits: 1

    Join FINRA staff and industry panelists as they discuss regulatory issues impacting options markets. After attending this session, you will be able to: Discuss recent and ongoing regulatory initiatives Discuss supervision of options trading in customer accounts Identify effective controls, proce...

  • $50

    Remote Supervision

    General Credits: 1

    Join FINRA staff and industry panelists as they discuss what they have learned from working remotely. During the session, panelists discuss effective controls, procedures, and processes that member firms are incorporating to address supervision in a remote work environment. After attending this...

  • $75

    The Regulation of Private and Foreign Funds in the Age of Cryptocurrency

    General Credits: 1.5

    This CLE course is designed to provide an overview of the regulatory regime applicable to private and foreign (i.e., non-registered) investment funds and the issues raised by the explosive rise of cryptocurrencies in the past several years. The course begins with an overview of the Securities Ac...

  • $50

    Considerations and Practices for Supervising Independent Contractors

    General Credits: 1

    This CLE program addresses common challenges in supervising independent contractors. The session offers examples and suggestions for firms to use in their everyday supervision and compliance efforts. The panel also discusses existing rules and related guidance and shares effective industry prac...

  • $75

    Cryptomorphing The Legal Profession: Musings From A Stacker In The Rye

    General Credits: 1.5

    The goal of this presentation is to expose lawyers to the rabbit hole of blockchain technology and cryptocurrency, and the effects and potential effects on the legal profession. We will discuss topics ranging from the acceptance of cryptocurrency as payment for legal services to the impact of b...

  • $50

    Alternative Investments and Complex Products

    General Credits: 1

    This CLE program addresses developments related to alternative investments and complex products. The session emphasizes the importance of understanding product features, characteristics, and their supervisory challenges. After attending this session, you will be able to: Understand the latest re...

  • $50

    Social Media and the Rise of the Finfluencers

    General Credits: 1

    Human behavior has evolved as a result of the pandemic. For the financial services industry, the rapid acceleration of digital adoption has dramatically changed the way we engage with each other and our clients. Join FINRA staff and industry panelists as they discuss how social media and social...

  • $50

    Cyber Security Compliance Trifecta: Recent Revisions to Three Important Security & Privacy Standards

    Cybersecurity Credits: 1

    Cybersecurity compliance concerns have emerged as a forefront issue for both large and small enterprises. Revisions of three important standards or requirements were published recently and will have far reaching cybersecurity compliance implications. The National Institute of Standards and Tec...

  • $50

    Gamification, Mobile Apps and Digital Engagement

    General Credits: 1

    Panelists share insights into the developing world of digital engagement practices, including gamification, in broker dealers’ mobile apps, marketing, and online platforms. Attend this session to hear how compliance and regulatory experts are responding to the rapidly developing use of data an...

  • $50

    Brokers With a Significant History of Misconduct

    General Credits: 1

    This CLE program will discuss the new rules concerning brokers with significant history of misconduct. Panelists review the implications of retaining or hiring brokers with such a history. After attending this session, you will be able to: Understand changes to rule 9200 and 9556 Discuss height...

  • $50

    Cryptocurrency and the Blockchain: Understanding the Landscape of Legal Issues and Offerings

    General Credits: 1

    There is much confusion regarding the many cryptocurrencies available and even more about blockchain technology; particularly in light of recent market upheavals. Global observers are keen to determine whether cryptocurrencies and the blockchain technology are taking us in a new currency direc...

  • $50

    Conflicts of Interest in Capital Markets and Investment Banking

    General Credits: 1

    This CLE program will discuss helpful tips and tools for managing conflicts of interest in capital markets and investment banking firms. Panelists will discuss practices that raise conflict of interest concerns and how to remedy these issues. After attending this session, you will be able to:...

  • $50

    Hot Topics in Municipal Securities and Other Fixed Income

    General Credits: 1

    FINRA and MSRB staff discuss recent enforcement actions related to municipal securities (e.g., 529 Plans, municipal short positions), examination priorities, fixed income-related rulemaking, and common problems uncovered during Member Supervision and Market Regulation reviews. After attending thi...

  • $50

    Market Structure: What Factors Are Driving Changes

    General Credits: 1

    During this session, FINRA staff and industry practitioners discuss current developments and future trends in the industry, including best execution guidance and payment for order flow issues. After attending this session, you will be able to: Understand Best Execution guidance Discuss effective...

  • $50

    Hot Topics in FinTech

    General Credits: 1

    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 regula...

  • $50

    Ethics of Legal Writing

    Ethics Credits: 1

    This CLE course will look at five areas where attorneys sometimes get into ethical trouble through legal writing: frivolous writing, failure to cite adverse authority, incivility in legal writing, ghostwriting and plagiarism. In each of these areas, an attorney can help a client by knowing what the...

  • $50

    Senior and At-Risk Investors

    General Credits: 1

    Join FINRA staff and industry experts as they discuss how FINRA rules and state requirements related to Senior and Vulnerable Adult clients can help firms service this growing client base and how to ensure your organization is protected. After attending this session, you will be able to: Review...

  • $50

    Counsel’s Role in Adopting, Implementing & Enforcing a Code of Ethics

    Ethics Credits: 1

    What exactly is a code of ethics? Are they policies? By-laws? Suggestions? Are they enforceable? To whom do they apply? Regardless of what type of organization you belong to, most today have some form of ethical code they adopt and claim to abide by, especially given that they are represented by a...

  • $75

    Handling Current Legal Ethical Issues

    Ethics Credits: 1.5

    This CLE course will address practical ethical issues that lawyers face as they work remotely during a pandemic, as well as when discussing personal legal matters with work colleagues. We will also examine recent examples of attorneys acting as “over”-zealous advocates for their clients, and some r...

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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