Illinois Securities Law Bundle

CLE Accreditation Info

Courses purchased through UnitedCLE.com are provided and fully accredited by The National Academy of Continuing Legal Education, an Accredited CLE Provider in Illinois. To view NACLE’s accreditation details, please click here.

30¼ Credits
w/ 5.75 Ethics & 1 Mental Health/Sub Abuse & 1 Diversity/Inclusion
Only $349
Courses Priced
Individually at $897

We have selected our most popular lectures and bundled them together into our Securities Law Bundle. This Bundle contains 30 Credit Hours of IL Approved CLE Lectures - satisfying all your professional responsibility requirements including 4 hours of ethics, one hour of diversity/inclusion and one hour of mental health/substance abuse.

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, addi...
Ethics Credits:3
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 toke...
General Credits:1.25
In this instructive CLE course, FINRA staff and industry practitioners will review advertising compliance and sales practice as applicable to general brokerage firms as well as their registered representatives. Advertising compliance challenges and...
General Credits:1
The most common ethical missteps are often the most avoidable. Utilizing a variety of risk management tools, practitioners can learn which conduct and practices typically draw the attention of bar prosecutors or clients in order to avoid these poten...
Ethics Credits:1.25
Lawyers are known for working insane hours, to the point of exhaustion and seriously ill health, This CLE course will explain how to get control of your life without damaging your business. The course will explain how to have a balanced, healthy lif...
MH/SA 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
A firm grouping structure and the process of implementing it are fraught with issues. This CLE course will explain the lessons learned during this process and what firms can expect in the future. The course will explain how to understand new org...
General Credits:1
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...
General Credits:1.25
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. T...
Div Credits:1
BAR rules and ethical considerations regarding representation or often misunderstood. This lack of information can lead to mistakes that could be costly. This CLE course will explain ethical considerations related to representation and termination a...
Ethics 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....
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 requireme...
General Credits:1.25
The Bitcoin network came into existence in 2009 and since then, internet currencies have made incredible strides. Their credibility is such that cryptocurrencies are accepted as secure forms of payment, they can be digitally stored and do not requir...
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
For those new to FINRA’s advertising rules, there is a great deal to absorb. This CLE course will offer a complete overview on FINRA Rule 2210 – Communications with the Public. The course will explain filing requirements and exemptions, record-keepi...
General Credits:1
With the recent publication of FINRA”s Regulatory Notice 19-31 concerning Disclosure Innovations in Advertising and Other Communications with the Public, even seasoned attorneys need an update. This CLE course will offer insights by industry and FIN...
General Credits:1
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
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
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
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
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
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
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
30¼ Credits
w/ 5.75 Ethics & 1 Mental Health/Sub Abuse & 1 Diversity/Inclusion
Only $349
Courses purchased through UnitedCLE.com are provided and fully accredited by The National Academy of Continuing Legal Education, an Accredited CLE Provider in Illinois. To view NACLE’s accreditation details, please click here.