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Securities Law Bundle - Pennsylvania CLE

12 Total Credits
w/ 2 Ethics
Bundle Price:$349 (Save $251!)

We have selected our most popular lectures and bundled them together into our Securities Law Bundle. This Bundle contains 12 Credit Hours of CLE Lectures - Including 2 Credit Hour of Ethics. The Supreme Court of Pennsylvania issued a Court Order temporarily waiving the 6 hour limitation on distance learning credits for 2020 compliance deadlines. Attorneys in Pennsylvania may now complete all 12 hours of their 2020 CLE requirements through approved distance learning activities. Therefore all PA attorneys can now satisfy their entire requirement with our DVDs, Audio CDs, Online & iOS/Android App courses.

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 program will discuss recent rule changes made in response to the FAIR Act, recent regulatory issues raised by communications about digital assets and customer transaction accounts, a summary of Regulation Best Interest, and advertising issu...

General Credits:1

This CLE program will address advertising sales practice issues applicable to general brokerage firms and their registered representatives. FINRA staff and industry practitioners will discuss advertising compliance and sales practice issues app...

General Credits:1

Join FINRA staff as they share helpful insight on identifying and assessing activity of registered representatives as high risk and how that intelligence can be more broadly used to assess risk across and within branch offices. Upon completion, you...

General Credits:1

The past few years have been a whirlwind for ethics lawyers. From the national news to the changing landscape of the legal profession, lawyers have faced new and challenging issues in a variety of contexts. This riveting CLE program will cover the...

Ethics Credits:1

This CLE program will provide an overview on the four principal business entities – Corporations, Limited Liability Companies, General Partnerships and Limited Partnerships. Business lawyers Eli Greenberg and Mark Silverstein will discuss organizing...

General Credits:1

This CLE course is designed for compliance and marketing professionals who are new to FINRA’s advertising rules or experienced practitioners interested in a refresher. A panel of FINRA professionals provides an overview of FINRA’s Communications Wit...

General Credits:1

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

Join FINRA staff and industry experts as they explain how a FINRA rule becomes a regulation. Panelists give an inside look into how the FINRA Retrospective Rule Review process works and how rules are selected for review. Panelists will also preview...

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
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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