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.

25 Credits
w/ 4.75 Ethics & 1 Elimination Bias & 1.25 Competence Issues
Only $349
Courses Priced
Individually at $754

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!

With more and more of the workforce adapting to working from home, the issue of security has come to the forefront. Within the legal industry, this issue is critical as the potential for mishandling confidential information and violating duties to c...
Ethics 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
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....
General 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
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 organ...
Ethics Credits:1.25
The recently amended rules and new brand standard for municipal dealers’ advertising will be presented in full in this CLE course. New formal guidance for dealer and advertiser use of social media and how regulators are applying the modernized stand...
General Credits:0.75
Regulatory Technology or RegTech has become the newest greatest development in regulatory compliance. This CLE course will explain the technological innovations being applies to creating efficient, effective risk-based compliance programs for commun...
General Credits:1
Presented by business lawyers Eli Greenberg and Mark Silverstein, this CLE course will offer an overview of the four principle business entities - Corporations, General Partnerships, Limited Liability Companies, and Limited Partnerships. The course...
General Credits:1.25
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
Practicing lawyers must do everything in their power to properly represent their client, but that does not mean they are exempt from certain ethical obligations. This CLE course will present the main issues in ethics and ethical management. The cour...
Ethics Credits:1.5
The area of attorney ethics seems to be in a constant state of flux with a steadily growing array of issues to worry about. This fascinating CLE course will cover the latest updates in legal ethics and a look ahead at what issues will arise in the c...
Ethics Credits:1
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
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
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
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
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
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
25 Credits
w/ 4.75 Ethics & 1 Elimination Bias & 1.25 Competence Issues
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.