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Securities Law Mini Bundle - Washington CLE

25 Total Credits
w/ 18.25 Law & Legal Proc. & 6.75 Ethics
Bundle Price:$399 (Save $851!)

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.

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:1.25

The legal industry has dramatically changed as a result of the COVID-19 pandemic. More and more law firms across the country (and the world) are instructing attorneys and staff to work from home. For many, this is a significant change from what dail...

Ethics 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:1.75

This CLE will highlight some of the changes that Enforcement has recently implemented to its business process. Panelists will also discuss developments and trends in enforcement, including enforcement priorities and the principles that guide Enforc...

Law & Proc. Credits:1

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...

Law & Proc. Credits:1

This CLE program will focus on the rapidly changing world of digital marketing and communications. The panel will cover a variety of topics, which will illustrate how to stay on top of this constantly evolving area. Upon completion of this CLE, you...

Law & Proc. 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...

Law & Proc. Credits:1

One of the key Investigative Techniques used by the Financial Industry Regulatory Authority (FINRA) are on-the-record interviews (OTRs). This CLE course will discuss in detail the dynamics of FINRA OTRs and how to properly prepare and represent wit...

Law & Proc. Credits:1

This CLE focuses on FINRA and MSRB mark-up disclosure requirements. Panelists discuss securities covered by the rule, when mark-up disclosure requirements are triggered and recent guidance on how to calculate mark-ups based on prevailing market pric...

Law & Proc. 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...

Law & Proc. Credits:1

“Virtual currency,” “blockchain,” “smart contracts” – these words and phrases seem to be everywhere these days but do people really know what they mean. This CLE course will explain, in user-friendly terms, what virtual currency is, how it works a...

Law & Proc. Credits:1.75

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 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...

Law & Proc. 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...

Law & Proc. Credits:1

This CLE program is designed to give the trial lawyer/practitioner a real life sense of how to address rules of professionalism/ethics and civility in high stakes litigation, when your opponent’s zealous advocacy of his/her client’s interests can l...

Ethics Credits:1.5

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...

Law & Proc. 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...

Law & Proc. 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...

Law & Proc. 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...

Law & Proc. 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...

Law & Proc. Credits:1

This CLE course will discuss various issues concerning payments made by or through banks. Covered are laws concerning check and wire transfer payments made by and to consumers and businesses. Discussed are claims concerning such payments made agains...

Law & Proc. Credits:2.5
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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