Securities Law Non-Resident Bundle - New Jersey CLE

NJ rule 201:8(a) states that attorneys who reside in, work in, and are licensed in a mandatory CLE jurisdiction that does not require Live CLE are also exempt from Live CLE for NJ. This Bundle contains all 24 hours of NJ approved on-demand courses with 5 hours of Ethics and Professionalism which includes 2 hours of Diversity, Inclusion, and Elimination of Bias.

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Accreditation Info

Courses purchased through UnitedCLE.com are provided and fully accredited by The National Academy of Continuing Legal Education, a New Jersey Accredited CLE Provider. To view our full accreditation details please .

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24
Credit Hours
of CLE Lectures
  • 3.8 Ethics
  • 2.2 Diversity/Inclusion
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Only $349
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Courses priced individually at $657
  • 3.8 Ethics
  • 2.2 Diversity/Inclusion

Securities Law Non-Resident Bundle Includes:

  • $29

    Form CRS: Practical Considerations for Attorneys

    General Credits: 1.1

    A CRS is a new, 2-4 page disclosure document that SEC-regulated firms are required to deliver to their clients. Adopted to help investors understand the various standards of care that apply to their financial professionals (investment advisers vs. broker-dealers vs. dual registrants), as well as po...

  • $29

    Oh How the Mighty Have Fallen: Crypto and the Federal Securities and Commodities Laws

    General Credits: 1.1

    With the fall of FTX and the dream of cryptocurrency, the intersection between it and federal and security commodities becomes both fascinating and highly relevant. And as per the title of this session, has taken on Biblical proportions (see Samuel 2, 1:19). This riveting CLE course will prese...

  • $29

    Compliance and Legal Trends

    General Credits: 1.1

    This CLE program will delve into the emerging trends, pivotal focus areas, and strategic initiatives that are currently shaping the landscape. Gain valuable insights from the panelists as they analyze the impact of these transformative changes on compliance practices. Discover how organizations are...

  • $55

    The Case Against Tipper X

    General Credits: 1.8

    On what he thought was a typical workday in New York City, Tom Hardin woke up, went to the gym and ran a few errands on the way to the office. And on his way, two FBI agents suddenly appeared, publicly flashed their badges and began questioning him about his job. Tom was shocked and confused an...

  • $29

    Market Regulation and Transparency Services Priorities: What You Need to Know

    General Credits: 1.1

    Join us for an engaging session where FINRA staff will provide comprehensive insights into the latest updates on market regulation and transparency priorities concerning equities, options, and fixed income compliance programs. During this session, our esteemed panelists will discuss the followin...

  • $34

    Being a DEIA Agent of Change in The Legal Workplace and Beyond

    Diversity/Inclusion Credits: 1.1

    This introductory CLE course on Diversity, Equity, Inclusion and Accessibility (DEIA) offers a comprehensive legal overview of various related concepts and initiatives. The course will open with the definition and legal history of DEIA as well as some relevant background. Going as far back in h...

  • $29

    The Firm Perspective on Monitoring and Protecting Against Financial Crimes

    General Credits: 1.1

    Don't miss this session covering financial crimes from a firms' perspective. This CLE session will cover a wide range of tactics, red flags, and mitigation strategies associated with fraud, insider trading, cybersecurity, and money laundering. Key topics include: Effective practices and control...

  • $34

    Analyzing the Right and Ethical Way to Prepare Witnesses in Criminal Cases

    Ethics Credits: 1.2

    The zealous representation of clients is the obligation of all attorneys. But that obligation does not give them the right to ignore the rules of professional conduct, or that of honesty and candor in front of the tribunal. Creating a balance between the two can certainly present a challenge. T...

  • $34

    Understanding Diversity, Equity and Inclusion: How the Law Created Inequity

    Diversity/Inclusion Credits: 1.1

    Efforts to equalize opportunity are often encapsulated by the words “diversity, equity and inclusion”. The need and purpose for DEI requires an understanding of how inequality is embedded into the law. This CLE course will explain the many laws and judicial pronouncements that have made inequal...

  • $29

    Private Placements: The Latest Regulatory Developments and Compliance Considerations

    General Credits: 1.2

    This CLE program will explore the latest private placement regulatory advancements, with a particular focus on regulatory notice 23-XX. Gain valuable insights into compliance responsibilities and best practices concerning Reg BI, sales materials, due diligence, conflicts of interest, and other pert...

  • $34

    Ethics in Modern Day Legal Practice: The Current Hot Ethical Topics Found in Client Grievances and Malpractice Suits

    Ethics Credits: 1.3

    Ethical issues are constantly evolving and modern day legal practices need to stay current. This informative CLE course will address the latest trends in ethics with a particular focus on the rules that govern attorney conduct. The course will explore how the rules apply to an ever-changing landsca...

  • $29

    The Inside Scoop on Insider Threats and Cybersecurity

    General Credits: 1.1

    This CLE program is designed to expand your understanding of the compounding risks associated with insider and related cyber threats. By joining this session, you will gain comprehensive knowledge about the various manifestations of these risks, their potential occurrence in different contexts, and...

  • $29

    Capital Formation: Current Regulatory Landscape and Challenges

    General Credits: 1.1

    Join us for an informative session where you can expand your knowledge on the regulatory landscape, potential challenges, and available resources for firms in the context of capital formation. In this CLE program, we will cover the following topics: Exploring the current regulatory landscape Ex...

  • $29

    Navigating the SEC and CFTC Whistleblowing Programs

    General Credits: 1.1

    Whistleblower programs are not a particularly well known or understood feature of the various entities which have them, including the SEC, IRS and CFTC. This CLE course will present an overview of these programs including eligibility, anonymity and the whistleblower process. The course will review...

  • $29

    Leveraging Regulatory Technology for Your Firm

    General Credits: 1.1

    In this CLE, the panelists delve into the impact of RegTech on the securities industry, examining the associated benefits, risks, and regulatory factors. They explore a range of RegTech tools that can enhance compliance efforts, including the innovative Machine Readable Rulebook introduced by FINRA...

  • $29

    Market Structure: Current Developments and Future Trends

    General Credits: 1.1

    In this CLE program, panelists will engage in a discussion about the latest advancements in market structure. They will cover topics such as order handling, order routing, execution quality disclosure, and other relevant developments pertaining to fixed income and equity securities. The session...

  • $55

    Overhaul of Regulatory Capital Requirements Proposed By US Banking Regulators

    General Credits: 1.8

    This CLE course will examine the new, and fairly extensive, list of revisions to the regulatory capital requirements for both large and midsize banking organizations which were jointly proposed by US federal banking regulators. The revisions, which are quite lengthy, would seriously alter the requi...

  • $29

    Current Issues Under Regulation Best Interest and Form CRS

    General Credits: 1.1

    A dynamic forum brings together regulators and industry practitioners, fostering discussions that encompass a wide range of current topics and valuable lessons derived from experiences with Reg BI (Regulation Best Interest) and Form CRS (Customer Relationship Summary). These exchanges of insights d...

  • $29

    Cyber Security and Cyber Breach: What Lawyers and Their Law Firms Need to Know Now

    General Credits: 1.1

    This CLE program will explore the issues surrounding cyber security, the potential consequences of a cyber breach, and the ethical considerations that accompany such an event. With over 50 state laws in the United States concerning data privacy and security, companies must understand what legal and...

  • $34

    Virtual Isolation: Is Hyperconnectivity Helping or Harming the Legal Professional?

    Ethics Credits: 1.3

    Modern technology has taken over our lives in ways we couldn’t have possibly anticipated. Smartphones have replaced colleagues, friends and family as our most constant companions. However, like many things, their contributions to our lives comes at a price including the risk of dependence, addictio...

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