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.

30 Credits
w/ 10.5 Ethics/Specialty Credits
Only $349
Courses Priced
Individually at $932
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.
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
Not every ethical decision is a choice between right and wrong, bad and good. Some are far vaguer, battling in the shades of gray where our responsibilities to clients may blur the lines. This CLE course will tackle some of the more profound, overar...
Ethics Credits:1.75
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
This CLE course will explain how legal standards of fiduciary duty are adaptable to the capital markets and financial services industry. Presented by attorney Norman Arnoff, the course will review tips and strategies to protect against legal action...
Ethics Credits:1.25
Offering a comprehensive overview of the significant bank regulatory laws beginning in the Great Depression and stretching through to the 2010 Dodd Frank Act, this CLE course will explain all aspects of bank regulation in the US. The course will expl...
General Credits:1.25
Purchasing insurance coverage is always a tricky business. What needs to be insured? How much coverage should you get? At what point are you under or over-insured? But in the investment management industry, where increased regulatory scrutiny, growth...
General Credits:1
The ethical boundaries of social media, with its constantly expanding and evolving landscape, is critical to an attorney’s knowledge base both in evidence collection and case investigations. This CLE course will review relevant issues including prete...
Ethics Credits:1
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
The concept of implicit bias, the stereotypes or attitudes that unconsciously impact our actions, decisions and understanding, is a subject of considerable study today. Formed by ones culture, experiences, society, media exposure or other element, i...
Div 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,...
MH/SA Credits:1
30 Credits
w/ 10.5 Ethics/Specialty Credits
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.