Florida CLE - Securities Law Courses

This is a listing of Securities Law CLE Courses for Florida. Please make your selection below of Florida CLE courses. Click "Add To Cart" to purchase Individual CLE Courses. For more information about a particular CLE course, click on the "More Info" link. Click the "Preview" button to view a short preview of the course.

Florida CLE
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Courses purchased through UnitedCLE.com are provided and fully accredited by The National Academy of Continuing Legal Education, a Florida Bar Accredited CLE Sponsor (CLE Sponsor # 0185716). To view our full accreditation details please .

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Cryptomorphing The Legal Profession: Musings From A Stacker In The Rye

Blockchain technology and cryptocurrency is a complicated area with a far-reaching impact on the legal profession. This CLE course will explore topics from the acceptance of cryptocurrency as payment for legal services to cryptocurrency and blockchain technology’s impact on payment systems’ security transactions, public record filing and smart contracts. The goal of the course is to motivate participants to learn more about this dynamic and exciting area of study. More Info

$55

2General Credits

Self-Report
Current Communications with the Public Regulatory Issues

This CLE course offers an in-depth discussion on current communications with public regulatory issues. Presented by FINRA and SEC staff, the course will include a discussion of the new Investment Advisers Act Marketing Rule. The course will address recent communications proposals and rule changes as well as provide an understanding of the new marketing rule that will impact firm communications. More Info

$55

2General Credits

Self-Report
Current Issues in Securities Regulation: Part 1

A deep dive into issues related to FINRA, this CLE course will explain the rules governing alternative investments, REITS and private placements as well as possible suitability risks. Due diligence and industry practices for recommending specific securities, particularly to seniors and those with diminished capacity, will be reviewed. Issues related to deficiencies during the FINRA cycle, facing compliance professionals, taking corrective action, particularly as a result of a cautionary letter a... More Info

$212

7.5General Credits

Self-Report
Current Issues in Securities Regulation: Part 2

A thorough examination of FINRA and the related issues of regulation, eligibility requirements, risk, compliance and enforcement, this CLE course will explain the new Enforcement department and how functions across FINRA will be explained. The course will explain the structure of the new department, its priorities and how its outcomes are guided as well as preparing for inspections, minimizing risk, monitoring suspicious activity and identifying AML procedures will all be presented. Included as... More Info

$212

7.5General Credits

Self-Report
Current Issues Under Regulation Best Interest and Form CRS

A dynamic forum brings together regulators and industry practitioners, fostering discussions that encompass a wide range of current topics and valuable lessons derived from experiences with Reg BI (Regulation Best Interest) and Form CRS (Customer Relationship Summary). These exchanges of insights delve into various perspectives, exploring firm effective practices and examination experiences to gain a comprehensive understanding of these regulatory frameworks. Within this forum, regulato... More Info

$29

1General Credit

Self-Report
Current Trends and Threats in Financial Crimes

During this CLE session, Deputy Director Abbate and Under Secretary Nelson engage in a comprehensive dialogue on the most recent advancements in financial crimes and the risks associated with illicit finance. The discussion encompasses novel and emerging threats concerning money laundering, fraud, securities fraud, cybercrime, digital assets, and sanctions. More Info

$29

1General Credit

Self-Report
Cyber Security and Cyber Breach: What Lawyers and Their Law Firms Need to Know Now

This CLE program will explore the issues surrounding cyber security, the potential consequences of a cyber breach, and the ethical considerations that accompany such an event. With over 50 state laws in the United States concerning data privacy and security, companies must understand what legal and ethical obligations their business and clients have when it comes to personal information. The Federal Trade Commission also keeps an eye on companies to make sure that they are following th... More Info

$65

1.5Technology

✓ Pre-Approved
Cyber Security Compliance Trifecta: Recent Revisions to Three Important Security & Privacy Standards

Both large and small companies have been faced with increasing cybersecurity compliance concerns. This informative CLE course will review the standards and requirements revisions published recently, which have broad implications for cybersecurity compliance. These include the Spec. Pub 800-53 (Security and Privacy Controls for Information Systems and Organizations), released by the National Institute of Standards and Technology (NIST), the PCI-DSS 4.0 published by the Payment Card Indu... More Info

$29

1General Credit

Self-Report
Defining Antitrust Markets in Platform Industries

Designed to update generalists, anti-trust practitioners and inside counsel on the lower courts’ interpretation and application of Ohio v. American Express as it relates to defining antitrust markets involving platforms, this informative CLE course offers a brief but high level overview of antitrust law in the US. Taking into account the impact of the Supreme Court decision in this landmark case and the degree to which platforms have occupied the antitrust spotlight, the course will review the... More Info

$55

1.5General Credits

Self-Report
Digital Communications and Social Media

With digital marketing rapidly changing, how do firms remain in compliance? How do we communicate relevant, meaningful information in this dynamic digital age? This CLE course will explain the challenges being faced by industry and regulatory experts and how they are successfully addressing these challenges. The course will touch on hot button issues such as how firms engage technology to address their compliance obligations and how to implement creative methods for effective disclosur... More Info

$29

1General Credit

Self-Report