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Continuing Legal Education courses for Attorneys
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Securities Law Bundle - Rhode Island CLE

6.25 Total Credits
w/ 2.25 Ethics
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 2 Credit Hour of Ethics.

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

All lawyers should aspire to meet the highest ethical standards. All lawyers should and must also satisfy their minimal legal duties to their client. This CLE presentation discusses how to do both, and presents a simple framework to meet aspiratio...

Ethics 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

This CLE lecture will focus on the impact civility or the lack thereof has on everyday practice. From interactions with clients, opposing counsel, judges and courtroom staff, the rules of professional conduct require lawyers to act civilly. This lec...

Ethics Credits:1.25

Join FINRA staff and industry representatives as they discuss how recent developments in financial technology (FinTech) are disrupting the securities industry. Topics include RegTech (regulatory technology), artificial intelligence, identity authent...

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
National Academy of Continuing Legal Education is a provider of accredited CLE courses throughout the country. To view our accreditation details for Rhode Island, please click here.


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