Enforcement Initiatives, Developments and Priorities: 2019-2020 Update

Accreditation Wreath Icon IL
Illinois selected on map

Illinois MCLE
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 our full accreditation details please .

All Courses Available iOS/Android Web

All Courses Available iOS/Android Web

About This Course

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 regulatory practices and how to navigate enforcement investigations and the disciplinary process. The course will help you obtain a firm grasp on the key principles that guide enforcement outcomes including customer restitution, tips for effective responses to inquiries, regulatory duplication avoidance and risk-based decision making. An understanding of FINRA’s priorities as explained by recent enforcement matters and the inclusion of individual liability and credit for extraordinary cooperation.

Decorative Arc

United Makes CLE Easy

A puzzle in a hand

One.

Select Course Package

  • Unlimited CLE

    Enables you to fulfill multiple CLE cycles with one purchase.

  • One-Stop Bundles

    Our most popular courses bundled to save you time and money.

  • Build-A-Bundle

    Select the courses that interest you most while taking advantage of our bundle discount.

A clipboard with a checklist

Two.

Immediate Access to CLE Courses

Courses are available immediately upon checkout. You will have 24/7 access to your purchased courses during the lifetime of your subscription.

Courses can be started, stopped, and paused at any time.

A certificate

Three.

Instantly Print Your Certificate

You can immediately print your CLE certificate upon completion of a course.

A copy of your certificate will remain in your account and will always be accessible to you.

Decorative Arc

Want Different Options?

For a custom suite of courses, our custom CLE option satisfies your CLE cycle requirements in one easy step.

Customize OptionsRight ArrowCustomize Options