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Securities Law Bundle - Pennsylvania CLE

Total Credits:6 Ethics Credits:1
Bundle Price:$189 (Save $111!)

We have selected our most popular lectures and bundled them together into our Securities Law Bundle. This Bundle contains 6 Credit Hours of CLE Lectures - Including 1 Credit Hour of Ethics.

This CLE program provides guidance on suspicious activity monitoring and other AML (anti-money laundering) topics. Panelists address effective steps to combat money laundering with this overview of its standards and issues, including definitions, va...

General Credits:1

During this session, industry panelists and FINRA staff will discuss the Department of Labor’s (DOL’s) proposed conflicts of interest rule (the fiduciary regulation) and will provide an overview of fiduciary requirements and tips to help in meeting...

General Credits:1

This session discusses cybersecurity threats small firms’ face and preventative measures they can take. Panelists share useful practices for designing an effective Information Technology (IT) risk program, determining your firm's cybersecurity prior...

General Credits:1

This 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 decisions a...

General Credits:1

This CLE program provides guidance on the roles of attorneys and compliance professionals and their ethical obligations in different situations. High ethical standards are critical to maintaining the public's trust in financial markets and in the in...

Ethics Credits:1

This CLE program provides guidance on the business and compliance issues related to crowdfunding and the offering of unregistered securities through broker-dealers. Panelists provide regulatory and industry updates related to crowdfunding under Tit...

General Credits:1

National Academy of Continuing Legal Education is a Pennsylvania Accredited CLE Provider. The Supreme Court of Pennsylvania CLE Board maintains an Accredited Provider listing on their website at https://www.pacle.org/links/accred_providers.asp. You can find us listed under “National Academy of Continuing Legal Education.”



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