Alabama Securities Law Bundle

CLE Accreditation Info

United Institute for Continuing Legal Education is a provider of accredited CLE courses throughout the country. To view our accreditation details for Alabama, please click here.

6.1 Credits
w/ 1.1 Ethics
Only $169
Courses Priced
Individually at $179

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 1 hour of Ethics.

This CLE course will provide practical advice on how firms and registered representatives can better assess customers and securities in order to comply with suitability obligations as set down by FINRA Suitability Rule 2111 and the SEC’s Proposed Re...
General Credits:1
Recent developments in the FinTech – financial technology – are wreaking havoc on the securities industry. This CLE course, presented by FINRA staff and industry representatives, will discuss these developments particularly in the fields of artificia...
General Credits:1
More and more, law firm retainers agreements have included advance conflict of interest waivers. In this comprehensive CLE course, leading ethics attorney Ronald Minkoff, who also heads the Professional Responsibility Group at Frankfurt Kurnit Klein...
Ethics Credits:1.1
How a rule becomes a regulation and other fascinating insights into the FINRA Retrospective Rule Review process will be presented in this comprehensive CLE course. The course will explain upcoming rule changes, regulatory initiatives and how the adv...
General Credits:1
Enforcement trends and developments, priorities and principles that determine decision-making will all be discussed in this illustrative CLE course which utilizes real-life cases as examples. The course will provide guidance on compliance and regula...
General Credits:1
Assessment of AML programs for potential pitfalls and vulnerability is critical for firms. This CLE course, presented by FINRA staff and industry experts, will explain regulatory trends and enforcement actions including those by the SEC and other ag...
General Credits:1
6.1 Credits
w/ 1.1 Ethics
Only $169
United Institute for Continuing Legal Education is a provider of accredited CLE courses throughout the country. To view our accreditation details for Alabama, please click here.