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/ 8 Ethics/Specialty Credits
Only $349
Courses Priced
Individually at $806
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!
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
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
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
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
There are many courses that explain what attorneys should do, whether in facing a difficult legal battle or an ethical quandary. This CLE course will explain what not to do in the practice of law, and how to avoid potential pitfalls through a thorou...
Ethics Credits:1.5
Alternative investments, REIT’s and private placements as well as their features, characteristics, rules and potential for risk will all be discussed in this informative CLE course. Guidance on how firms can ensure compliance with their due diligenc...
General Credits:1
The senior citizen demographic grows each year and planning for the later stages in life has taken on new urgency as the population lives longer. This CLE course, joined by representatives from regulatory agencies, is designed to help you address the...
General Credits:1
Regulators on the front lines of securities fraud offer information on current fraud schemes and potential threats in this riveting CLE course. The course will explain how to identify potential dangers associated with financial fraud and who to turn...
General Credits:1
In this CLE course, industry practitioners will offer their experiences during FINRA cycle examinations, the corrective action taken and compliance procedures and practices based on their experiences. The course will provide expert guidance on prepar...
General Credits:1
Compliance professionals face a myriad of challenges as the separation of business and compliance supervision roles becomes more complicated. In the CLE course, FINRA staff will be joined by industry practitioners to discuss how firms are re-defining...
General Credits:1
FINRA cycle examinations can be nerve-wracking. Be prepared with this comprehensive CLE course on the most deficiencies noted during examinations and best practices for taking corrective action and updating compliance procedures. The course will disc...
General Credits:1
FINRA’s newly restructured Enforcement department, its workings and the various enforcement groups comprised will be the focus of this informative CLE course. The course will highlight recently-implemented changes to business processes and trends in...
General Credits:1
Designed to provide insight on implementing an effective risk-based branch office inspection office, this CLE course will explain FINRA’s Member Regulation Department approach to executed examinations, provide strategies for preparing for and learnin...
General Credits:1
Panelists for this CLE course will present key issues regarding compliance with the suitability rule and provide advice on how firms and registered representatives can better analyze customers in order to do so. The course will discuss industry trend...
General Credits:1
This fascinating and timely CLE course provides guidance on suspicious activity monitoring and investigations in anti-money laundering. Panelists will provide a firm understanding of the AML regulations and program requirements, best practices for id...
General Credits:1
Designed to guide attendees on best practices for supervising private security transactions and monitoring outside business activities, this CLE course presented by FINRA panelists will also address common OBA deficiencies found during examinations....
General Credits:1
This timely CLE course provides much needed updates on market regulation priorities as well as current initiatives and rule-making. The course will help you to understand market regulations initiatives and priorities, FINRA’s market regulation examin...
General Credits:1
Focused specifically on medium and large firms, this CLE course addresses common deficiencies uncovered FINRA examination and proactive measures that can be taken in response to exam recommendations. Senior staff explain the exam process, how to faci...
General 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
Addiction is a factor in many legal cases and attorneys need to know how to identify addiction and its legal definition. This CLE course, presented by Mick Meagher, Esq., a seasoned attorney and the author of a highly acclaimed book on intervention,...
Competence Credits:1
25¼ Credits
w/ 8 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.