Securities Law Bundle - California CLE

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 and Implicit Bias, Competence Issues. 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!

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California MCLE
Accreditation Info

United Institute for Continuing Legal Education is a CLE provider accredited by the California State Bar, Provider #15390. To view our full accreditation details please .

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25¼
Credit Hours
of CLE Lectures
  • 4¼ Ethics
  • 1¼ Competence Issues
  • 1 Elimination Bias
  • 1½ Implicit Bias
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Only $349
Save $423
Courses priced individually at $772
  • 4¼ Ethics
  • 1¼ Competence Issues
  • 1 Elimination Bias
  • 1½ Implicit Bias

Securities Law Bundle Includes:

  • $29

    Guiding Witnesses Through The Minefield of FINRA On-The-Record Interviews (OTRs)

    General Credits: 1

    On-the-record interviews (OTR’s) are a key technique for Financial Industry Regulatory Authority investigations. This CLE course will explain FINRA’s OTR methodologies and how to best prepare to represent witnesses during these types of proceedings. The course will explain the overall goals of FINR...

  • $34

    Gambling: The "Secret" Addiction

    Competence Issues Credits: 1.25

    Alcoholism, drug addiction and mental health disorders are on the rise, leading to an increase in impairment in the legal profession. According to the statistics, 1 in 3 attorneys will need mental health services at some point in their careers. Yet there are other addictions, such as gambling,...

  • $34

    How Microaggressions Can Dismantle an Organization’s Professional Development & Diversity & Inclusion Goals

    Elimination Bias Credits: 1

    Seemingly innocuous comments, pronoun use and jokes can all seem innocent, but may amount to an inadvertently hostile environment for employees. Employee turnover as a result of such toxic environments are never good for a businesses’ bottom line. This enlightening CLE course will use a social scie...

  • $55

    Venture Capital Funds: Formation, Terms, Issues Encountered, and Other Practice Tips for Counsel

    General Credits: 1.5

    Venture capital has made it possible for many young companies to grow into major corporations. By providing extensive financial and advisory support, they manage to accomplish these goals while sparing them from the scrutiny and disclosure requirements of the public market. Familiarity with the inn...

  • $29

    Consolidated Audit Trail

    General Credits: 1

    Compliance with a consolidated audit trail requires attention and preparation. This CLE course will explain how to properly and effectively prepare for compliance with the consolidated audit trail (CAT) and will include a discussion of deadlines, useful resources, and firm obligations. The cour...

  • $29

    Market Regulation Priorities

    General Credits: 1

    Current regulations and new rules have shifted market regulation priorities. This CLE course will offer an update on recent initiatives and rules and how they impact the priorities of today. The course will be presented by FINRA panelists who will offer insights on equities, options and fixed incom...

  • $55

    Setting Up Your Securities Clients For Success

    General Credits: 2

    Legal counsel will typically evaluate Exempt Offering Documents on legal grounds, ignoring the option of considering how offerings can be best articulated from the underwriting perspective. This CLE course will offer tips on how to approach securities documentation from the standpoint of underw...

  • $65

    Implicit Bias and Micro-Aggressions: Their Effect on Law Firm Culture and Success

    Implicit Bias Credits: 1.5

    Regardless of what business you’re in, the issues of implicit bias, diversity and inclusion has impacted your business. When it comes to the practice of law, this means attracting, providing services to and retaining an increasingly diverse clientele. This CLE course will explain how implicit bias...

  • $55

    SPAC IPOs: Hotter Than Ever and How They Work With Forms

    General Credits: 1.5

    A Special Purpose Acquisition (SPAC) requires special consideration. This CLE course will explain how to formulate, file and implement a public offering for an SPAC. Insights, strategies and examples will be used to illustrate the SPAC process. Presented by nationally-recognized and widely publ...

  • $55

    Understanding Startup Issues: From Formation to Funding

    General Credits: 1.75

    Startups seem to be forming on a daily, maybe even hourly, basis. Which will succeed and which will fail is somewhat dependent on the strength of the idea, but even more so on an entrepreneur’s ability to move the innovation through the initial phases of development and launch. This CLE course will...

  • $29

    Remote Supervision: Compliance Challenges in a Remote Working World

    General Credits: 1

    Day-to-day operations in firms all over the world were severely disrupted by the COVID-19 pandemic. With the majority of staff working remotely, supervisory practices were completely overhauled. The CLE course, presented by FINRA staff and industry specialists, will present the many challenges...

  • $29

    Gamification, Social Media, and Digital Communications Perspectives

    General Credits: 1

    Gamification and social media have the potential to capture investors’ attention and influence their behavior. This CLE course will explain FINRA’s view on the dynamic world of digital communications as well as the risks and benefits of gamification features on broker-dealers’ apps and websites....

  • $29

    Fraud Detection and Prevention

    General Credits: 1

    Even fraud has fashion trends. This CLE course will present recent or noteworthy fraud cases and how these trends impact the financial services industry. The course will focus on frauds that impact the brokerage industry, offer strategies for identifying problematic situations and explain the proce...

  • $29

    Regulation Best Interest and Form CRS: Recent Observations and What to Expect

    General Credits: 1

    This CLE course will explain the new Regulation Best Interest (Reg BI) and Form CRS (client relationship summary) rules and the requirements of compliance. The course will explain how firms are complying with these rules, the examination process, tips, strategies and helpful resources to help w...

  • $29

    Turnkey Real Estate Investments as Securities

    General Credits: 1.25

    Turnkey real estate investments are growing in popularity for promoters and investors across the United States. But are they really just vanilla real estate deals, or a security in disguise? This CLE course will clarify turnkey investments as they relate to real estate, securities and general prac...

  • $29

    Enforcement Developments

    General Credits: 1

    This CLE course will explain recent updates and developments in enforcement. The course will focus on enforcement priorities and how an issue might find its way to enforcement and the process it undergoes including regulatory and compliance practices. The course will also present important deci...

  • $29

    Cryptocurrency Primer: What They Are, How They Work, Their History, and Their Future

    General Credits: 1.25

    Cryptocurrency is a complex area at the intersection of finance and law. This CLE course will explain cryptocurrency and its history as well as specific types such as Bitcoin and the origins of the various types. The course will explain digital tokens, governmental classifications and a look into t...

  • $95

    Third Annual Litigation Ethics Summit

    Ethics Credits: 3

    Even under normal circumstances, the application of ethics during litigation is challenging. But during times of upheaval, with a downward pressure on fees it becomes even more difficult. The current work from home environment also contributes, adding to compliance risk. Where’s the line between ly...

  • $34

    Fiduciary Duty For Lawyers In The Capital Markets

    Ethics Credits: 1.25

    Professional standards for lawyers and others working in the Capital Markets and Financial Service Industry may differ from other areas of business. This CLE course will provide an overview of subjects such as legal opinions, representation of organizations and constituents with adverse interests a...

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