Securities Law Bundle - Georgia CLE

We have selected our most popular lectures and bundled them together into our Securities Law Bundle. This Bundle contains 12 Credit Hours of CLE Lectures including 1 hour of Ethics and 1 hour of Professionalism. *The Commission on Continuing Lawyer Competency (CCLC) has permanently suspended the rule limiting the number of distance learning courses GA attorneys are allowed to take. Going forward, GA lawyers can complete all or any portion of their CLE requirement through approved distance learning CLE programs.

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Georgia CLE
Accreditation Info

Courses purchased through UnitedCLE.com are provided and fully accredited by The National Academy of Continuing Legal Education, a provider of CLE courses in Georgia approved by the Georgia Commission on Continuing Lawyer Competency, sponsor #3730. To view our full accreditation details please .

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12
Credit Hours
of CLE Lectures
  • 2 Ethics
  • 1 Professionalism
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Only $199
Save $164
Courses priced individually at $363
  • 2 Ethics
  • 1 Professionalism

Securities Law Bundle Includes:

  • $29

    Social Media and the Rise of the Finfluencers

    General Credits: 1

    COVID-19 has dramatically altered the way we behave, some think for good. These changes impact all industries, including the financial services industry, where the rapid increase in digital adoption has changes the way we engage with one another and with our clients. This CLE course, presented...

  • $29

    Hot Topics in Municipal Securities and Other Fixed Income

    General Credits: 1

    There have been a variety of recent enforcement actions related to municipal securities (e.g. 529 Plans, municipal short positions), fixed-income related rulemaking, examination priorities and other typical problems that are revealed during Member Supervision and Market Regulations reviews. Thi...

  • $29

    Gamification, Mobile Apps and Digital Engagement

    General Credits: 1

    This CLE course will offer insights into the increasingly dynamic world of digital engagement practices including broker dealers’ mobile apps, gamification, marketing and online platforms. The course will explain how regulatory and compliance experts are addressing the rising use of data analyt...

  • $29

    Hot Topics in FinTech

    General Credits: 1

    FinTech (Financial Technology) is a dynamic, growing industry that seems to have been on fast-forward in recent years. This CLE course, presented by FINRA staff and industry practitioners, will explain how FinTech is defined by various stakeholders in the industry as well as new, innovative ways th...

  • $34

    Handling Current Legal Ethical Issues

    Ethics Credits: 1

    Remote work became the norm during COVID-19 and with it many practical issues arose, particularly for attorneys. This CLE course will address some of those issues particularly with regards to discussing personal legal matters with work employees. The course will present examples of attorneys ac...

  • $34

    In the Beginning... and Before: Ethical Considerations at the Outset of Representation

    Ethics Credits: 1

    This two part CLE course will address the professional responsibilities that attorneys have prior to representing clients. The course will begin with solicitation and barratry including practices such as ambulance chasing as well as conduct, consequences, enforcement and other rules of professi...

  • $29

    Considerations and Practices for Supervising Independent Contractors

    General Credits: 1

    Independent contractors are notoriously difficult to supervise. This CLE course will offer suggestions and examples of effective supervision and compliance methods that firms can implement to improve their supervision. The course will address existing rules and common industry practices and ena...

  • $29

    Conflicts of Interest in Capital Markets and Investment Banking

    General Credits: 1

    Conflicts of interest in capital markets and investment banking firms are more and more common. This CLE course will offer useful and effective tips and strategies for managing these conflicts from how to raise concerns to how to find remedies when conflicts arise. The course will present metho...

  • $29

    Brokers With a Significant History of Misconduct

    General Credits: 1

    Hiring and retaining brokers with a history of misconduct is a risky business. This CLE course will present the new rules concerning brokers with histories of misconduct and will help you understand changes to rule 9200 and 9556. The course will address the heightened supervisory procedures req...

  • $29

    Market Structure: What Factors Are Driving Changes

    General Credits: 1

    This CLE course will present the newest developments and trends in the industry. Presented by FINRA staff and industry practitioners, the course will offer tips and strategies for execution guidance and issues related to payment for order flow. Effective practices for reviewing and documenting...

  • $29

    Senior and At-Risk Investors

    General Credits: 1

    Seniors and Vulnerable Adults often fall under the wire. This CLE course will explain how FINRA rules and state requirements address this population, enabling firms to better address this increasingly growing client base and protect your organization. Presented by FINRA staff and industry exper...

  • $34

    Professionalism in Challenging Practice Areas

    Professionalism Credits: 1

    High conflict litigation, immigration and criminal practice require an above-average standard of professionalism. How to achieve that standard, both in your practice and in your life, benefits both attorney and client, adds value and meaning to your work and enables practicing attorneys to go beyon...

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