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Securities Law Mini Bundle - Washington CLE

Total Credits:25 Ethics Credits:6
Bundle Price:$399 (Save $876!)

We have selected our most popular lectures and bundled them together into our Securities Law Mini Bundle. This Bundle contains 25 Credit Hours of CLE Lectures - Including 15 Law & Legal Procedure Credits and 6 Ethics Credits.

As lawyers, the most profound ethical issues we face generally arise not so much where the choice is between “good” and “bad,” or “right” and “wrong,” but, instead, where the issue compels us to choose between two (or sometimes more) competing “goo...

Ethics Credits:1.75

This informative CLE course will provide a complete overview of professional responsibility issues that may arise for in-house counsel on a day-to-day basis. The course will explain the rules that govern privileged information, e-discovery, contact...

Ethics Credits:1.5

As social media has become entwined with our personal and professional lives, attorneys must be aware of their ethical obligations with respect to the many social media platforms that are being used. It is not uncommon for attorneys to share informa...

Ethics Credits:1.5

This CLE program presented by attorney Norman Arnoff, will discuss Legal Malpractice, Fiduciary Duty in the legal profession and how the legal profession's concepts and standards of fiduciary duty can be adapted to the capital markets and the financ...

Ethics Credits:1.25

This CLE program provides an overview of FINRA’s Communications With the Public rule, including the filing requirements, internal approval and supervision, and the content standards. FINRA panelists answer questions about how to apply the rules to f...

General Credits:1

Join FINRA staff and industry panelists as they discuss advertising compliance issues concerning registered investment companies, including mutual funds, ETFs and closed-end funds. The panel includes discussions on current trends, changes to FINRA R...

General Credits:1

This CLE program addresses current developments in advertising regulation. FINRA experts discuss FINRA’s proposed rule to permit investment planning forecasts and the MSRB’s proposed advertising rule changes. After attending this session, you wil...

General Credits:1

How do small firms stay in compliance with the communications with the public rules? FINRA staff and industry panelists answer audience questions and provide practical tips and helpful guidance as well as how FINRA can help small firms navigate the...

General Credits:1

This panel will share in-depth information on issues ranging from FINRA’s senior initiative and the Securities Helpline for Senior, JOBS Act (Jumpstart Our Business Startups Act) developments including private placements, changes in fixed income reg...

General Credits:1

This CLE program discusses rules governing alternative investments, REITs and private placements. This session emphasizes the importance of understanding product features, characteristics and possible risks for purposes of suitability determinations...

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. Join representatives from regulatory agencies and firms to discuss rules and laws promulgated to assist firms in prot...

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 common deficiencies noted during FINRA cycle examinations of institutional firms, and issues that result in a cautionary letter. Industry practitioners discuss their experience during examinations and taking cor...

General Credits:1

This CLE program will provide guidance on the challenges facing compliance professionals. Separation of compliance and business supervision roles is becoming much more difficult. Join FINRA staff and industry practitioners as they discuss how their...

General Credits:1

This CLE session provides an overview of the newly restructured Enforcement department, including how the department works with examination and surveillance groups across FINRA to develop Enforcement matters. The session will highlight some of the...

General Credits:1

This CLE program provides guidance on implementing an effective risk-based branch office inspection program. After attending this session, you will be able to: Understand FINRA’s Member Regulation Department’s approach to executing risk-based cyc...

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 provides guidance on suspicious activity monitoring and investigations in AML (anti-money laundering). Panelists discuss how to establish and implement policies and procedures as well as obligations for firms. Attendees will gain an...

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 updates on market regulation priorities, including current initiatives and rulemaking. This session focuses on market regulation priorities and sweeps. Panelists will share thoughts on equities, options and fixed income com...

General Credits:1

This CLE program provides guidance on common deficiencies noted during FINRA examinations of medium and large firms.. Industry practitioners discuss taking proactive compliance measures and corrective action in response to examination deficiencies a...

General Credits:1

This session focusses on business and regulatory developments related to the JOBS Act, including recent innovations around how firms conduct business online. FINRA and industry experts discuss how firms can stay in compliance as they conduct public...

General Credits:1

This CLE program will discuss how broker dealers can apply the upcoming changes in the fixed income communications rules as well as how to apply current standards to communications about complex income investments. By the end of the session, you w...

General Credits:1
National Academy of Continuing Legal Education has been approved for accredited sponsor status by the Washington State Board of Mandatory Continuing Legal Education. All courses offered by the National Academy of Continuing Legal Education have been directly approved by the WSBA. To view our full accreditation details, please click here.


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