Options Markets: Recent Regulatory Issues

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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 .

All Courses Available iOS/Android Web

All Courses Available iOS/Android Web

About This Course

This comprehensive CLE course will feature FINRA staff and industry panelists as they discuss the regulatory issues that are currently impacting the options market. The course will explain the recent initiatives as well as the supervision of options trading in customer accounts.

The course will also help you to identify effective controls, procedures and technology processes.

*This course qualifies as a Transitional course and can be taken by both Experienced and Newly Admitted attorneys in NY.

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