New York CLE - Finance and Banking Courses
New York CLE
Accreditation Info
Courses purchased through UnitedCLE.com are provided and fully accredited by The National Academy of Continuing Legal Education, an Accredited NYS CLE Provider. To view our full accreditation details please .
-
Hot Topics in Municipal Securities and Other Fixed Income
During this CLE program, a wide range of essential aspects pertaining to fixed income securities will be covered. This includes examination priorities, common findings, and enforcement actions, as well as rulemaking specific to the fixed-income market. An update on SEC Rule 15c2-11 will also be provided. The session will address the following topics: Review of recent enforcement actions concerning municipal securities, such as 529 Plans and municipal short positions. Additionally, it... More Info
$291Prof Practice -
Leveraging Regulatory Technology for Your Firm
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. The session highlights the role of artificial intelligence and cloud computing in these tools. Key topics covered include: Considerations for utilizing RegTech tools, particularly those in... More Info
$291Prof Practice -
Broker Lien Rights: What Attorneys Need to Know
Presented by a seasoned attorney who authored or lobbied on behalf of the roughly 34 states with commercial real estate broker lien rights, this CLE course will address a variety of related issues. The course will address protected commission claims, the prerequisite of such claims, timing, and legislative history. Advice on enforcements as well as guidelines for drafting a lien, asserting and serving a claim, foreclosing and defending judgement a the appellate level will be addressed.... More Info
$551.5Prof Practice -
Antitrust Merger Enforcement: Significant Regulatory Developments and Issues Explored
Designed to offer attorneys an in-depth understanding of the current state of US antitrust regulations and the role of antitrust agencies in reviewing and challenging mergers, this CLE course will present a comprehensive overview of the merger control process in the US, priorities of the antitrust agency priorities, highlights of recent merger challenges and forthcoming revisions to the US merger guidelines. The course will begin with an exploration of the core aspects of the US merge... More Info
$291Prof Practice -
Preparing a Business Client to Franchise
This CLE course will address the basic issues involved in representation for a client who wants to franchise. The course will present the practical considerations of franchising, the franchisor’s legal obligations and the most important decisions that need to be made. More Info
$551.5Prof Practice -
Introduction to Franchising Law
Whether you are representing a franchisor or a franchisee, it’s important for representing counsel to understand the basic legal considerations involved in franchising. This CLE course will present the legal definition of a franchise and review both state and federal laws which govern the franchise relationship. The course will provide resources for information on franchise brands, explain the pitfalls of becoming an accidental franchise and introduce the legal considerations to take i... More Info
$551.5Prof Practice -
Following the Money: A Primer on Fraudulent Transfer Litigation for the Uninitiated
Debt collection can be simple and straightforward, or difficult and even dirty when a debtor decides to make things complicated. Debtors facing lawsuits may attempt to shield themselves by giving assets to family or friends, leaving nothing for a creditor to take. This CLE course will offer tactics for combating what’s considered fraudulent transfers by the Uniform Fraudulent Transfer Act (UFTA) and the avoidance actions that can be taken. More Info
$291Prof Practice -
Offshore Asset Protection: Exploring the Various Jurisdictions for Protecting your Clients' Assets
The US is considered one of the world’s most litigious societies. But charging others and being charged are two entirely separate matters. This CLE course will help attorneys better advise their clients in how to survive a lawsuit by utilizing offshore asset protection to shield assets from frivolous claims. The course will address how to use various locations such as the Cook Islands, Saint Kitts and Nevis, Belize, and Switzerland, the different types of protections, and their purpose... More Info
$291Prof Practice -
Form CRS: Practical Considerations for Attorneys
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 potential conflicts of interest which may be intrinsic to a firm’s business practices. It is therefore essential for attorneys who need to refer clients to a financial professional or firm to be aware... More Info
$291Prof Practice -
Oh How the Mighty Have Fallen: Crypto and the Federal Securities and Commodities Laws
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 present the allegations by the U.S. Department of Justice, the Securities and Exchange Commission and the Commodities Future Trading Commission against Samuel Bankman-Fried, former CEO of FTX, and wil... More Info
$291Prof Practice
