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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New Jersey CLE
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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24.2
Credit Hours
of CLE Lectures
  • 4 Ethics
  • 2.6 Diversity/Inclusion
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Only $349
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Courses priced individually at $693
  • 4 Ethics
  • 2.6 Diversity/Inclusion

Securities Law Non-Resident Bundle Includes:

  • $34

    Uncovering Implicit Bias in the Legal Profession: How to Identify and Combat It

    Diversity/Inclusion Credits: 1.1

    Implicit bias can influence decision-making, communication, and collaboration across all areas of the legal profession. This interactive CLE program is designed to help attorneys identify and understand the role of unconscious bias in legal settings—from hiring practices and team dynamics to client...

  • $29

    Capital Formation Developments

    General Credits: 1.1

    As capital markets evolve, legal advisors play an increasingly strategic role in helping firms manage the intersection of innovation, regulation, and market opportunity. This session provides attorneys with a legal-focused exploration of current capital formation practices and the regulatory change...

  • $29

    Compliance & Legal Trends

    General Credits: 1.2

    As the financial services industry undergoes rapid evolution, attorneys must stay attuned to the shifting forces that impact compliance frameworks. This session offers a strategic legal lens on how firms are responding to a convergence of regulatory change, market demands, and technological disrupt...

  • $29

    Complex Products: New Developments and Compliance Considerations for Retail Firms

    General Credits: 1.1

    The expansion of complex financial products in the retail space—especially Registered Index-Linked Annuities (RILAs)—has introduced new layers of legal exposure and regulatory scrutiny. This CLE program gives attorneys a clear view into the supervisory demands firms face when distributing these pro...

  • $29

    The State Of The Art of Investment Advisor Regulations

    General Credits: 1.1

    This CLE course provides practical guidance for investment advisers following the Fifth Circuit's decision to vacate the SEC's latest Private Investment Adviser regulations. We will explore the reasons behind the SEC's decision not to appeal and the resulting implications. The course will also...

  • $29

    Communication Supervision Trends and Effective Practices

    General Credits: 1

    In today’s rapidly changing regulatory environment, effective supervision of communications is more crucial than ever. This session will explore the latest trends and regulatory developments in communications supervision, with a particular focus on emerging platforms like social media, mobile apps,...

  • $29

    Artificial Intelligence: Opportunities and Use by Member Firms

    General Credits: 1.1

    The integration of artificial intelligence into financial services is no longer theoretical — it’s underway, expanding rapidly through tools like Generative AI and Large Language Models (LLMs). This course equips attorneys with a working understanding of how these technologies are being applied in...

  • $29

    Effective Practices in Remote Supervision and Inspections

    General Credits: 1.1

    With the financial services industry embracing long-term hybrid and remote work models, supervision practices are undergoing significant transformation. This CLE program provides legal professionals with an in-depth look at FINRA’s updated rules supporting remote supervision — including the introdu...

  • $29

    Filing Requirements and Due Diligence Obligations for Public Offerings and Private Placements

    General Credits: 1

    In this session, FINRA experts and seasoned industry professionals provide a thorough overview of the regulatory requirements and best practices for handling both registered and unregistered securities offerings. Focused on providing actionable insights, this course will equip lawyers with the tool...

  • $55

    Representing the Startup Enterprise Through the “Four Stages” of Capital Formation

    General Credits: 2.3

    Every startup’s growth story is marked by critical moments in securing outside investment, and the legal issues evolve as the company advances. This CLE program walks attorneys through the four stages of capital formation, highlighting what counsel must know to effectively represent an emerging ent...

  • $29

    Mitigating Impacts of Fraud and Scams Targeting Customers

    General Credits: 1.2

    In today’s fraud-prone financial environment, attorneys must be prepared to navigate the legal complexities of investor-targeted schemes. This course focuses on equipping legal professionals with the tools and insight needed to support clients through the full arc of a fraud incident—before, during...

  • $29

    Financial Management Regulatory Developments

    General Credits: 1.1

    This CLE course offers a focused look at the evolving legal and regulatory standards shaping financial responsibility in the securities sector. Using insights from the 2025 Regulatory Oversight Report, the session addresses key issues such as liquidity risk, net capital rules, and customer asset pr...

  • $29

    Legal Risk and Regulatory Strategy: A Conversation with FINRA Senior Leaders

    General Credits: 1.1

    This participant-driven CLE session, tailored for financial legal and compliance professionals, addresses key FINRA regulatory topics through audience questions, offering practical guidance for today’s regulatory challenges. Topics Covered: FINRA Forward Initiatives: Rule modernization, complian...

  • $29

    Financial Crimes: Getting Ahead of the Adversaries

    General Credits: 1.1

    Today’s financial crime landscape is marked by rapid innovation—and increasing risk. This CLE program offers a strategic update for legal and compliance professionals navigating the growing complexity of fraud and money laundering in financial markets. This CLE course begins with a deep dive int...

  • $29

    How to Use Data to Drive Effective Oversight

    General Credits: 1.1

    Today’s compliance environment is increasingly data-driven, placing new demands on legal professionals advising financial firms. This CLE course focuses on the legal and governance implications of data use in compliance, offering attorneys a deeper understanding of how data analytics are reshaping...

  • $65

    Brains, Bias, and the Bar: How Cognitive Errors Compromise Justice

    Diversity/Inclusion Credits: 1.5

    Bias isn’t just a personal flaw—it’s a cognitive shortcut, baked into the way all humans think. In the legal profession, however, these shortcuts can have far-reaching consequences. This CLE program takes a closer look at how mental habits like anchoring bias, the availability heuristic, and attrib...

  • $65

    Ethical Conflict of Interest Issues

    Ethics Credits: 1.8

    Legal ethics challenges often arise in the routine details of practice—sometimes where attorneys least expect them. This course takes a comprehensive look at everyday scenarios that can lead to professional missteps, offering practical strategies to prevent them. Attendees will learn how to clearly...

  • $29

    Keeping Current With Fixed Income Securities

    General Credits: 1

    With regulatory scrutiny intensifying across the fixed income marketplace, this CLE session provides legal professionals with the tools to stay current and compliant. Hear directly from FINRA and MSRB staff as they explore how recent developments are influencing firm operations and legal obligation...

  • $34

    Ethics in the Age of AI: Navigating Professional Responsibilities in Legal Practice

    Ethics Credits: 1.1

    Artificial intelligence is no longer a distant possibility—it’s already embedded in the way lawyers research, draft, review, and advise. But with these capabilities come legal and ethical minefields that can jeopardize your license, your clients, and your reputation. This program confronts the real...

  • $34

    AI and the Attorney-Client Privilege: Protecting Confidentiality in the Age of Large Language Models

    Ethics Credits: 1.1

    As artificial intelligence becomes a routine part of modern law practice, it brings with it both powerful capabilities and pressing concerns—especially regarding attorney-client privilege. This CLE program examines how emerging AI tools, from document review platforms and legal research assistants...

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