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Securities Law Bundle - New York CLE

Total Credits:24.5 Ethics Credits:5
Bundle Price:$495 (Save $730!)

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 5 Credit Hours of Ethics.

As all attorneys know or should know, every attorney is, ipso facto, an agent of each client, with concomitant fiduciary duties to the client. This CLE program provides a unique opportunity to understand the principles of agency law, giving attorney...

Ethics Credits:2.5

The laws governing fundraising over the Internet are changing all the time, and new SEC rules recently took effect. On October 30 2015, the SEC issued final regulations to implement Title III of the JOBS Act. Regulation CF will permit a person or co...

General Credits:1.5

In this CLE course, ethics expert and legal malpractice attorney Daniel Abrams shares his views on how lawyers can protect themselves and minimize their chances of being sued for malpractice or being subject to other ethical headaches. Mr. Abrams co...

Ethics Credits:1.5

This CLE session provides insights and observations from FINRA staff and industry practitioners on the existing trading environment for the fixed income market. Panelists will discuss the current state of liquidity within various fixed income produc...

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. Statistics show that the population of persons aged 65 and older is growing at a dramatic pace. This population also...

General Credits:1

This CLE program provides guidance on suspicious activity monitoring and other hot topics in AML (anti-money laundering). There is no shortage of "hot topics" in the Anti-Money Laundering (AML) compliance. As the industry has taken a leading approac...

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 will include a discussion of common deficiencies noted during FINRA cycle examinations. The program will also provide guidance on taking corrective action and updating compliance procedures and practices based on lessons learned fr...

General Credits:1

This CLE program provides guidance on useful practices for protecting customer information, what to do in the event of a data breach and tackling other cyber security situations. Every firm needs a cybersecurity program. Is your current plan as comp...

General Credits:1

This CLE program provides guidance on Customer Due Diligence Rule. Join FINRA Staff and industry experts as they discuss the proposed rule and steps firms can take to meet the requirements. After attending this session, you will be able to: Summa...

General Credits:1

This CLE session provides and overview of new developments and trends in enforcement, including enforcement priorities, as well as policy changes and clarifications, particularly regarding information requests. Panelists highlight noteworthy decisio...

General Credits:1

This CLE session focuses on ethical considerations and the significant competing interests that compliance professionals and securities attorneys face on a daily basis. Practitioners discuss the roles and responsibilities of compliance professionals...

Ethics Credits:1

This CLE program will highlight best practices related to the hiring and supervision of registered representatives in the retail space. After attending this session, you will: Understand effective practices for assessing risk when considering re...

General Credits:1

While outsourcing is an activity or function that a third-party service provider performs to assist an organization, an outsourcing arrangement does not relieve firms of their ultimate responsibility for compliance with all applicable laws and secur...

General Credits:1

This CLE program provides information regarding current fraud schemes from the front line regulators. After attending this session, you will be able to: Understand emerging trends in securities fraud and identify potential threats. Identify pote...

General Credits:1

This CLE program provides guidance on steps firms can take to comply with their due diligence obligations. Panelists discuss the features of popular complex products and their role portfolio diversification. After attending this session, you will...

General Credits:1

This CLE program will highlight institutional fixed income and equity sales and trading compliance concerns and related risk controls. Compliance professionals in these business lines face an array of challenging issues, everything from conflicts o...

General Credits:1

Attend this CLE program to hear a discussion on hot legal cases and enforcement actions impacting AML programs. Does your AML program meet evolving expectations and address emerging money laundering risks? Join FINRA staff and industry experts as th...

General Credits:1

This CLE program will provide guidance on effective practices for monitoring outside business activities and supervising private securities transactions. FINRA panelists discuss common OBA deficiencies found during examinations. Panelists share effe...

General Credits:1

This CLE program provides efficient practices for the use of digital media. Join FINRA and industry social media and digital compliance experts as they discuss current and future trends. Topics will include how firms are addressing the compliance...

General Credits:1

This CLE program provides an overview of the roles and responsibilities of clearing and introducing firms. This session is intended to assist firms in making the most of the relationship with their clearing firm. Panelists discuss the roles and resp...

General Credits:1

This CLE program provides guidance on supervising independent contractors. This panel of FINRA staff and industry members addresses common challenges in supervising independent contractors. The session offers examples and suggestions for firms to u...

General Credits:1
National Academy of Continuing Legal Education is a NYS Accredited CLE Provider. The NY CLE Board maintains an Accredited Provider directory on their website. You can find us listed on the most recent directory at http://www.nycourts.gov/attorneys/cle/aplist.pdf. Experienced attorneys can earn all 24 CLE credit hours from National Academy of Continuing Legal Education, including all 4 Legal Ethics credits through either Audio CDs, DVDs, CD-ROM or our Instant Online Formats.


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