California Securities Law Bundle

CLE Accreditation Info

United Institute is an accredited CLE provider in California, Provider #15390. All courses offered are approved for CLE credit in California. To view further accreditation details, please click here.

25¼ Credits
w/ 7.75 Ethics/Specialty Credits
Only $349
Courses Priced
Individually at $775
We have selected our most popular lectures and bundled them together into our Securities Law Bundle. This Bundle contains 25 Credit Hours of CA CLE Lectures. All your mandated specialty hours including Elimination of Bias, Substance Abuse Prevention and Ethics are included. And don't worry, our CDs count as "Participatory" when accompanied by our witness affirmation forms, included FREE in your order! That means you can take all 25 credits with us!
Ten years ago almost no one had heard of virtual currency, but today, blockchain and smart contracts are part of everyday lingo. But how many people truly understand what these are, and how they are impacting financial institutions and transactions....
General Credits:1.75
There are a variety of conflicts of interests that may, and often do, arise as a result of regulatory and examination priorities such as outside business activities (OBA) and private security transactions (PST’s). This CLE course, presented by FINRA...
General Credits:1
The sale of alternative investments include no small amount of due diligence obligations and effective practices. These include, but are not limited to, Private Placements, Regulation A+, Online Distribution Platforms, Opportunity Zone Funds Finders...
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
The ethical boundaries of social media, with its constantly expanding and evolving landscape, is critical to an attorney’s knowledge base both in evidence collection and case investigations. This CLE course will review relevant issues including prete...
Ethics Credits:1
Designed to define and illustrate the impact of corporate governance and oversight in preventing governmental prosecution and enforcement, this CLE course will explain the role that boards of directors, senior management and others in an organizatio...
General Credits:1.25
The protection of one’s personal data has gained a lot of attention recently. In the EU, the General Data Protection Regulation (GDPR) was passed as a means of protecting its citizens. Passed in April 2016, it impacts any entity with online interests...
General Credits:1
This CLE course will explain how to stay updated in the ever-evolving world of digital marketing and communications. The course will explain how to define digital marketing and digital communication as well as discuss various app based messaging serv...
General Credits:1
Risk evaluation is critical in assessing potential liability. This CLE course, presented by FINRA staff, will provide the necessary insight to identify and assess high risk activity amongst representatives. The course will explain how that risk can b...
General Credits:1
Institutional business activities require supervisory controls in order to mitigate a variety of risks. This CLE course will explain the primary regulations and recommended strategies for implementing these controls as well as managing tools. The co...
General Credits:1
With a focus on FINRA and MSRB mark-up disclosure requirements, this advanced CLE course will review securities covered by the rule and how to calculate mark-ups on the basis of the prevailing market price. Effective practices and tips as well as ind...
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
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
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
Small firm and solo practitioners face additional challenges in staying informed of ethical rules and considerations for attorneys without the organizational, administrative and legal support of larger firms. This CLE course, designed specifically fo...
Ethics Credits:2.75
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
As people switch to online banking, the use of wire transfer payments has risen as well. With a focus on both consumer and commercial payments, this CLE course will review issues related to payments made by or through banks. Claims against banks conc...
General Credits:2.5
Ethical guidelines are straightforward in principle, but when they need to apply to real-world litigation, it can become more complicated. Between the pressure applied by clients and that of the myriad malpractice cases compounded by the quick respon...
Ethics Credits:1.75
Alcohol and substance abuse are an ongoing and ever-growing problem in the field of law. Combined with the statistics on mental health issues such as depression and anxiety, the numbers are indeed troubling. Part 1 of a 2 part series, this CLE cours...
Competence Credits:1.25
Gender discrimination and gender diversity has perhaps never been more center-stage. This CLE course will take an attorneys view of the issue and discuss them in terms of the legal profession. The course will explain pay equity in law firms, sexual h...
Elim. Bias Credits:1
25¼ Credits
w/ 7.75 Ethics/Specialty Credits
Only $349
United Institute is an accredited CLE provider in California, Provider #15390. All courses offered are approved for CLE credit in California. To view further accreditation details, please click here.