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 $929
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.
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
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
Institutional business activities require supervisory controls in order to mitigate a variety of risks. This CLE course will explain the primary regulations and recommended strategies for implementing these controls as well as managing tools. The co...
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
In comparison with litigating commercial cases in court, business arbitration and mediation hold a number of important benefits, but taking advantage of them requires familiarity with Alternative Dispute Resolution. This CLE course, presented by expe...
General Credits:1.75
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
Recent developments in the FinTech – financial technology – are wreaking havoc on the securities industry. This CLE course, presented by FINRA staff and industry representatives, will discuss these developments particularly in the fields of artificia...
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
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
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
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
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
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
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
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
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
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.