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Securities Law Bundle - Pennsylvania CLE

6.5 Total Credits
w/ 2.5 Ethics
Bundle Price:$189 (Save $136!)

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 2 Credit Hour of Ethics.

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

RegTech (Regulatory Technology) is more than a buzzword, it is a real movement that is already having an impact on regulatory compliance. This CLE lecture will give you insight on innovative technologies being used to develop more effective, effici...

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

This CLE lecture will educate you about FINRA’s recently published Regulatory Notice 19-31, Disclosure Innovations in Advertising and Other Communications with the Public. Industry and FINRA experts share insights into how firms can facilitate sim...

General Credits:1

Applying ethics rules to real-world litigation can be daunting. Your clients want you to push the limits. Technology speeds everything up. And every time you open the Law Journal it's filled with malpractice cases, fee battles, pay equity claims, di...

Ethics Credits:1.5

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
National Academy of Continuing Legal Education is a Pennsylvania Accredited CLE Provider (Provider ID 6208). To view our full accreditation details, please click here.


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