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Massachusetts Securities Law Bundle

CLE Accreditation Info

CLE is voluntary for Massachusetts attorneys. To view further accreditation details, please click here.

Don’t need Massachusetts CLE? Choose a Different State!
12¼ Credits
w/ 3.25 Ethics
Only $199
 Courses Priced
Individually at $391

We have selected our most popular lectures and bundled them together into our Securities Law Bundle. This Bundle contains 12 Credit Hours of MA CLE Lectures - Including 9 General Credits and 3 Ethics Credits.

RegTech in Advertising and Compliance and Beyond

$29
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
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FINRA’s Suitability Rule and SEC’s Proposed Regulation Best Interest

$29
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
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Reviewing Recent Enforcement and Regulatory Actions to Manage AML Risks

$29
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
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High-Risk Activity Impacting Retail Investors

$29
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
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Enforcement Initiatives, Developments and Priorities: 2019-2020 Update

$29
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
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Litigation Ethics Summit: I Walk the Line

$65
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
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Mark-Up Disclosure Requirements

$29
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
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Professionalism in High Stakes Litigation

$65
High-stakes litigation can often change the rules of the game. When the situation gets heated, attorneys may find their professional ethics at risk as an opponent’s advocacy of their client’s interest leads to obstructive behavior. This CLE course w...
Ethics Credits:1.5
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Common Examination Findings for Institutional Firms: 2019-2020 Update

$29
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
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How FINRA Rules Get Made, Reviewed and Updated

$29
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
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Complex Products and Alternative Investments

$29
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
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Want different courses?
12¼ Credits
w/ 3.25 Ethics
Only $199
CLE is voluntary for Massachusetts attorneys. To view further accreditation details, please click here.

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