New York CLE - Securities Law 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 .
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Representing the Startup Enterprise Through the “Four Stages” of Capital Formation
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 enterprise. The journey begins with founders funding their own venture, then expands to friends-and-family contributions and, in some cases, crowdfunding campaigns targeting customers or online s... More Info
$552Prof Practice -
Artificial Intelligence: Opportunities and Use by Member Firms
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 the financial sector and what that means for legal professionals today. From drafting automation and sentiment analysis to data classification and compliance reporting, AI tools are reshaping... More Info
$291Prof Practice -
Capital Formation Developments
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 changes shaping them. Attorneys will examine how firms are pursuing new approaches to capital raising, along with the legal risks and responsibilities that accompany those innovations. With today’s... More Info
$291Prof Practice -
Complex Products: New Developments and Compliance Considerations for Retail Firms
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 products to retail investors. This CLE course will examine how RILAs function, why they pose unique compliance challenges, and what legal teams need to watch for—including conflicts of interest,... More Info
$291Prof Practice -
Compliance & Legal Trends
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 disruption. Rather than focusing solely on rules, this course explores the broader trends driving compliance transformation—emerging enforcement priorities, digital innovation, and changes in busines... More Info
$291Prof Practice -
Effective Practices in Remote Supervision and Inspections
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 introduction of Remote Supervisory Locations (RSLs) and the Remote Inspection Pilot Program (RIPP). Rather than focusing solely on compliance mechanics, this course examines how these regulatory upda... More Info
$291Prof Practice -
Financial Crimes: Getting Ahead of the Adversaries
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 into current red flags and fraud patterns affecting firms, including the misuse of generative AI, account-based schemes like ACH fraud, and direct-target scams against investors. We’ll also unpack m... More Info
$291Prof Practice -
Financial Management Regulatory Developments
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 protections, with practical guidance on compliance and enforcement risks. Attendees will explore recent and proposed SEC rule changes—including Treasury clearing mandates and updates to Rule 15c... More Info
$291Prof Practice -
How to Use Data to Drive Effective Oversight
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 firm oversight and regulatory responses. This CLE course begins with a look at how firms—regardless of size or resource levels—are integrating analytics into their compliance and surveillance... More Info
$291Prof Practice -
Keeping Current With Fixed Income Securities
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 obligations. The session will unpack current trends, highlight regulatory priorities, and offer insights into effective firm practices. Discussion will span a range of legal issues, including the latest... More Info
$291Prof Practice -
Legal Risk and Regulatory Strategy: A Conversation with FINRA Senior Leaders
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, compliance resources, and cybersecurity/fraud strategies. Capital Formation: Rules balancing innovation and investor protection. CAT and PCAOB: Transaction tracking and audit compliance for small firm... More Info
$291Prof Practice -
Mitigating Impacts of Fraud and Scams Targeting Customers
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, and after it occurs. Participants will follow the progression of a modern fraud scheme, analyzing how investors are approached and deceived, and exploring the critical legal touchpoints that... More Info
$291Prof Practice -
Communication Supervision Trends and Effective Practices
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, and other off-channel communication methods. Drawing on recent examination results, our expert panel will discuss the evolving supervisory landscape and offer actionable strategies for legal profess... More Info
$291Prof Practice -
Filing Requirements and Due Diligence Obligations for Public Offerings and Private Placements
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 tools necessary to navigate complex compliance challenges and minimize risks in securities transactions. What You Will Learn: Understanding Filing Obligations: Key differences between registere... More Info
$291Prof Practice -
The State Of The Art of Investment Advisor Regulations
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 address current trends and best practices in artificial intelligence, the Marketing Rule, and other recent regulatory developments. Additionally, we will discuss broader judicial decision... More Info
$291Prof Practice -
Compliance and Legal Trends in The Financial Industry
Join leading experts from member firms as they explore the latest trends and strategic priorities shaping the legal and compliance landscape. In this dynamic CLE session, our panelists will share their invaluable insights on how evolving business, regulatory, and technological changes are transforming these critical functions. Participants will gain a comprehensive understanding of: Emerging trends and challenges in legal and compliance roles. Strategic focus areas to enhance legal and... More Info
$291Prof Practice -
Ask FINRA Senior Leaders
In this CLE session, senior staff from FINRA will provide crucial updates on current regulatory issues and initiatives. Join us as expert panelists delve into FINRA's risk-based examination program, recent disciplinary actions, market regulation programs, and the latest and forthcoming rules. This session will cover a range of vital topics, including: Modernizing FINRA Rules in a Post-COVID World: Explore initiatives like the Remote Supervision and Inspection (RSL) and the Remote In... More Info
$291Prof Practice -
Crowdfunding Capital Raises: Considerations for Broker-Dealers & Funding Portals
Join our expert panel for a deep dive into Regulation Crowdfunding (Regulation CF) and its impact on broker-dealers and funding portals. This CLE session will provide valuable insights into regulatory risks and best practices for maintaining compliance. Key discussion points include: Regulation CF for Broker-Dealers: Understand the specific requirements and strategies for broker-dealers participating in crowdfunding offerings. Regulation CF for Funding Portals: Explore the unique c... More Info
$291Prof Practice -
Crypto Assets: Trends, Regulatory Developments and Resources
Dive into the latest updates in cryptocurrency regulation in this insightful CLE session. We'll cover a range of critical topics, including the recent crypto-assets retail communications initiative, emerging trends in crypto misconduct, and practical resources for navigating the evolving landscape. Key discussion points include: Regulatory Developments: Review the December 2023 crypto-assets retail communications sweep. Address disclosure and compliance concerns in OBAs and priv... More Info
$291Prof Practice -
Financial Crimes: Outpacing the Threats
In today's rapidly evolving financial landscape, the threat of financial crimes is ever-present and increasingly sophisticated. This CLE course delves into the latest trends and emerging tactics in financial crime, including fraud, money laundering, and cybercrime. Through a combination of theoretical foundations and practical applications, participants will learn how to anticipate and counteract these threats. Key topics include: Understanding the spectrum of financial crimes and th... More Info
$291Prof Practice -
FINRA's Disciplinary Hearing Process
This CLE course features perspectives from FINRA Enforcement counsel, defense counsel, and a hearing panelist. The course aims to enhance your understanding of FINRA's disciplinary hearing process, focusing on the key differences between self-regulated hearings and those conducted by administrative law judges. Topics covered will include: The distinctions between FINRA hearings and administrative law judge hearings. The conflicts clearance process for panelists and hearing officers.... More Info
$291Prof Practice -
The Latest in Private Placement Sales Oversight
Stay informed about regulatory developments, compliance obligations, and best practices for selling private placements. This CLE session will cover: An overview of regulatory updates and compliance obligations related to private placements Effective practices for adhering to Regulation Best Interest (Reg BI) Communication strategies, due diligence processes, and managing conflicts of interest A discussion on Regulatory Notice 23-08, detailing firms’ responsibilities when recommen... More Info
$291Prof Practice -
Developments in Remote Supervision
This CLE course will delve into the newest advancements in remote supervision, featuring insights on the remote inspection pilot program, updated supervision rules for Residential Supervisory Locations, and best practices for risk-based supervision. Key topics include: Transitioning from current COVID relief measures to the implementation of Rules 3110.18 and 3110.19 Effective reporting of residential locations and RSLs in Firm Gateway Best practices and key considerations for rem... More Info
$291Prof Practice -
Fixed Income Securities Regulatory Outlook
This CLE session will delve into the most recent regulatory developments impacting fixed income and municipal securities. This comprehensive session will cover crucial topics such as Time of Trade disclosures, updates to SEA Rule 15c2-11, and critical insights for firms navigating examination priorities, findings, and enforcement actions. Key points of discussion will include: The latest amendments to SEA Rule 15c2-11. Detailed analysis of Time of Trade disclosures, with a focus on... More Info
$291Prof Practice -
Modernizing Off-Channel Communications Supervision
Join our panelists as they share insights from thematic reviews of off-channel communications, including text messages and social media platforms. Discover effective techniques firms are using to oversee their communications. This session will cover: The communications landscape Rule requirements for books and records, public communications, and supervision SEC and FINRA enforcement actions Observations from reviews of off-channel communications OSE-facilitated communications roundt... More Info
$291Prof Practice -
Promoting Market Integrity: FINRA’s Role in Market Structure
Gain insights from regulatory and industry experts on FINRA’s efforts to uphold market integrity and the impact of new and evolving regulations. This CLE program will cover: New and emerging rules SEC market structure proposals Securities lending practices Transparency initiatives shaping the market. More Info
$291Prof Practice -
Technology Governance: Mitigating Risk Throughout the Vendor Lifecycle
This CLE course delves into essential considerations for firms outsourcing activities or functions to third-party providers. Learn from panelists about mitigating vendor risk through robust technology governance programs that cover the entire vendor engagement lifecycle, from onboarding and ongoing due diligence to event response and offboarding. Topics include: Vendor management and due diligence per Regulatory Notice 21-29 (FINRA's reminder of supervisory obligations related to th... More Info
$291Prof Practice -
The Progression of Regulation Best Interest and Form CRS
This CLE program will explore recent observations on firms' compliance with Regulation Best Interest (Reg BI) and Form CRS. The discussion will provide valuable insights and practical guidance on key topics such as Reasonably Available Alternatives, the Care Obligation, and managing Conflicts of Interest. Key topics include: Recent findings by the SEC and FINRA regarding Reg BI and Form CRS compliance. Interpretation, guidance, and best practices: In-depth analysis of recent SEC... More Info
$291Prof Practice -
Conflicts of Interest in the Financial Services Industry: What Every Attorney Needs to Know
Referring clients to financial advisers carries some degree of risk. Attorneys need to be knowledgeable about the regulatory framework that distinguishes financial advisers, particularly given the 2020 disclosure documents (Form CRS). This CLE course will explain the regulation of financial advisers and how standards of care differ. The course will offer strategies for recognizing potential conflicts of interest that may impact the adviser-client relationship as well as how new SEC di... More Info
$291Prof Practice -
Common Issues with Navigating the Changing Landscape of Multistate Taxation of Crypto Currency & Crypto Based Companies
State Taxation varies across US states. The State and Local Tax (SALT) levels in particular are different for every jurisdiction with their own tax code and tax treatment for different types of applications. For example, the revenue from a particular company is classified in California may vary widely from how it is viewed in Texas. The US Supreme Court, citing the Commerce Clause and various other constitutional considerations, places limitations on a state’s power to tax. One of these rela... More Info
$291Prof Practice -
Safeguarding Your Business & Investment Clients with Proactive Asset Protection & Estate Planning
The goal of Asset Protection & Estate Planning Program for Business & Investment Clients is to address both legacy and family considerations as well as provide complete asset protection while optimizing tax benefits. This CLE course will provide everything you need to know to design a program that is both easy-to-use and flexible enough to apply even as a portfolio grows. The programs must also be able to hold up under any legal scrutiny and be fully integrated so that assets are not le... More Info
$552Prof Practice -
Overhaul of Regulatory Capital Requirements Proposed By US Banking Regulators
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 requirements for market, credit, and operational risk, and while many of these revisions have long been anticipated, such as the re-evaluation of use of internal models, others are quite novel, such as th... More Info
$551.5Prof Practice -
The Case Against Tipper X
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 and began to worry when the agents began sharing details about his personal life and his family, even where he was last weekend. It was that event that began the process of Tom Hardin going from he... More Info
$551.5Prof Practice -
Navigating the SEC and CFTC Whistleblowing Programs
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 the steps needed to file a claim with each agency and explain how claims are analyzed. The course will then delve deeper into the various ambiguities in the whistleblower awards process and p... More Info
$291Prof Practice -
Compliance and Legal Trends
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 adapting, evolving, and effectively responding to the interplay of business dynamics, regulatory developments, and technology advancements. This engaging discussion offers a unique opportuni... More Info
$291Prof Practice -
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 -
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 -
Cyber Security and Cyber Breach: What Lawyers and Their Law Firms Need to Know Now
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 ethical obligations their business and clients have when it comes to personal information. The Federal Trade Commission also keeps an eye on companies to make sure that they are following th... More Info
$341Cybersecurity -
Skip Tracing for Lawyers
Located a missing person is sometimes required of attorneys in most areas of practice, though more often for those practicing trust and estates, malpractice, debt collection, personal injury, and real estate law. Typically, with enough information, creativity and resources, attorneys can locate individuals without the services of private investigators or skip tracers. This informative CLE course, developed by a seasoned investigative attorney, will help lawyers develop basic people sea... More Info
$551.5Prof 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 -
Due Diligence Under The 33 Act: Avoid Disasters in the Middle of an IPO
This CLE course will offer a comprehensive overview of what lawyers and bankers confront during the marketing and distribution process of IPO’s. The course will address potential pitfalls and issues that may arise and provide real-life examples of the many hurdles that could potentially jeopardize your success. Learn about what faces you in the IPO underwriting process and ensure yours and your client's success by anticipating problems and acting strategically. More Info
$551.5Prof Practice -
Managing Your Client’s Series A Offering of Securities: A Step by Step Guide
Before a start-up or early stage company is ready for its first round of venture capital, known as a Series A Round or Series A Offering, it typically goes through a number of informal financing rounds. To that end, companies will turn to founders, friends and even family members. If it’s successful however, the Series A offering of securities will involve a series of steps. This informative CLE course will offer a complete overview of the process including: reviewing and updating... More Info
$551.5Prof Practice -
Cryptomorphing The Legal Profession: Musings From A Stacker In The Rye
Blockchain technology and cryptocurrency is a complicated area with a far-reaching impact on the legal profession. This CLE course will explore topics from the acceptance of cryptocurrency as payment for legal services to cryptocurrency and blockchain technology’s impact on payment systems’ security transactions, public record filing and smart contracts. The goal of the course is to motivate participants to learn more about this dynamic and exciting area of study. More Info
$551.5Prof Practice -
Cryptocurrency and the Blockchain: Understanding the Landscape of Legal Issues and Offerings
Cryptocurrencies and blockchain technology are sources of tremendous confusion, particularly given the recent market upheavals and drastic swings in their value. Whether cryptocurrency and blockchain technology are a fading fad or the beginning of a new direction in currency has yet to be determined, yet legal analysis may have a decided impact on the verdict. This CLE course will address the legal challenges and their impact on the industry as well as several key issues which... More Info
$291Prof Practice -
Metaverse Law: Intro to ARVR, Issues, IP Ownerships, Monetization, Cyber Currency, and Licensing
This CLE course will address the incredible breadth of tech law in the Metaverse, which still remains largely unregulated. The course will offer a review of the basic terminology – using terms everyone can understand – as well as how regulatory and statutory laws may apply to the Metaverse, how it polices itself and how it is monetized. The course will also delve into blockchain and security, intellectual property, cryptocurrency and other related issues with regards to funding... More Info
$551.5Prof Practice -
Building a Successful Solo Mergers and Acquisitions Practice
This informative CLE course will present the various tools that all successful merger and acquisition practices should have. The course will review the use of flowcharts and checklists as well as offer practice tips, client management strategies and software recommendations. More Info
$551.5Prof Practice -
Cyber Security Compliance Trifecta: Recent Revisions to Three Important Security & Privacy Standards
Both large and small companies have been faced with increasing cybersecurity compliance concerns. This informative CLE course will review the standards and requirements revisions published recently, which have broad implications for cybersecurity compliance. These include the Spec. Pub 800-53 (Security and Privacy Controls for Information Systems and Organizations), released by the National Institute of Standards and Technology (NIST), the PCI-DSS 4.0 published by the Payment Card Indu... More Info
$341Cybersecurity -
Basics of Patents: Are You Protected? Fundamentals of US Patents and Inventorship
Intellectual property comprises an increasing proportion of a company’s value. As a result, protection of intellectual property is of great importance to company owners as well as stockholders. This CLE course will offer a basic overview of patent law and inventor-ship in the US, and explain the ins-and-outs of patent claims, requirements to be identified as an inventor and disclosure issues in a patent claim. The course will also explain how patent claims are used in the marke... More Info
$291Prof Practice -
Bitcoin: Time For Lawyers To Take A Byte
With the emergence of blockchain technology, the Internet of Value has replaced the Internet of Information and the Internet of Things. It has thoroughly transformed our economic system with cryptocurrency being the hottest topic in financial news. The ethical issues involved however, have barely been discussed. This CLE course will address the opportunities as well as the risks for lawyers in the cryptocurrency and blockchain space. The course will offer an overview as well as... More Info
$291Prof Practice -
Asset Protection for Cryptocurrency
In an increasingly litigious society, asset protection is more important than ever and cryptocurrency is therefore having its heyday. Simultaneously, it is the targeted asset in more and more lawsuits with Blockchain technology making it increasingly easier to see the amount of cryptocurrency an individual owns. This CLE course will offer strategies for protecting cryptocurrency assets in a lawsuit. More Info
$291Prof Practice -
Setting Up Your Securities Clients For Success
Legal counsel will typically evaluate Exempt Offering Documents on legal grounds, ignoring the option of considering how offerings can be best articulated from the underwriting perspective. This CLE course will offer tips on how to approach securities documentation from the standpoint of underwriting standards which have the benefit of consistency and efficacy in offering documentation. The purpose of the course is to help legal counsel offer informed, risk-adjusted investment decision... More Info
$552Prof Practice -
GRAT and Valuation Planning After CCA 202152018: What Practitioners Need to Know
The CCA 202152018, released at the end of 2021, addresses the valuation challenge regarding the consideration that should be given to a potential sale when valuing an asset. Its impact on grantor retained annuity trusts (GRATs) and how an appraiser valuates the implications of a potential sale from no sale, conversations with buyers, letters of intent, binding contracts and so forth across the continuum. The recent changes place a possible sale fairly close to an actual sale in the pro... More Info
$551.5Prof Practice -
The Regulation of Private and Foreign Funds in the Age of Cryptocurrency
Cryptocurrency has transformed the way we think about investing. This CLE course will offer a comprehensive overview of the regulatory system as it applies to private and foreign investment funds and how it has been dramatically altered by the rise in cryptocurrency. The course will open with a historical overview of applicable regulation including the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Company Act, the Investment Advisers Act, the Dodd-Frank Ac... More Info
$551.5Prof Practice -
Defining Antitrust Markets in Platform Industries
Designed to update generalists, anti-trust practitioners and inside counsel on the lower courts’ interpretation and application of Ohio v. American Express as it relates to defining antitrust markets involving platforms, this informative CLE course offers a brief but high level overview of antitrust law in the US. Taking into account the impact of the Supreme Court decision in this landmark case and the degree to which platforms have occupied the antitrust spotlight, the course will review the... More Info
$291Prof Practice -
Understanding Asset Protection
Learn how to protect yourself from the effects of lawsuits through personal asset protection. This CLE course will offer an in-depth guide for protecting your personal wealth including a basic history, exemption status under federal and state law, risk analysis and definitions. The course will also delve into protections for different types of assets such as physical and real asset, liquid, domestic, offshore and others. Protection tools such as Limited Liability Companies, Family Limi... More Info
$551.5Prof Practice -
Overview of FinTech Regulation and Compliance
Companies that utilize new technology to automate and improve the delivery of financial services, known as FinTech, face many challenges. This CLE course will explain the core principles and regulatory issues in the US which govern the primary aspect of financial services such as funds, securities, money transition, commodities, anti-money laundering and even basic banking. The course is primarily geared to attorneys, but anyone interested in FinTech has a lot to gain. More Info
$291Prof Practice -
Turnkey Real Estate Investments as Securities
Turnkey real estate investments are growing in popularity for promoters and investors across the United States. But are they really just vanilla real estate deals, or a security in disguise? This CLE course will clarify turnkey investments as they relate to real estate, securities and general practitioners. More Info
$551.5Prof Practice -
Cryptocurrency Primer: What They Are, How They Work, Their History, and Their Future
Cryptocurrency is a complex area at the intersection of finance and law. This CLE course will explain cryptocurrency and its history as well as specific types such as Bitcoin and the origins of the various types. The course will explain digital tokens, governmental classifications and a look into the future of cryptocurrency. Issues of legality, constitutionality, and relationship to the gold standard and other valuations will all be discussed. More Info
$551.5Prof Practice -
Venture Capital Funds: Formation, Terms, Issues Encountered, and Other Practice Tips for Counsel
Venture capital has made it possible for many young companies to grow into major corporations. By providing extensive financial and advisory support, they manage to accomplish these goals while sparing them from the scrutiny and disclosure requirements of the public market. Familiarity with the inner workings of capital funds as well as the various concerns they face such as regulatory issues are critical for attorneys. This CLE course will present an overview of venture capital funds... More Info
$551.5Prof Practice -
Purchase Or Sale Of A Business, Or Part Of A Business: Documents Boot Camp
The purchase or sale of businesses or ownership interest in a business require a tremendous number of documents. The primary ones include Asset Purchase Agreements, Stock Purchase Agreements and Membership Interest Purchase Agreements. This CLE course will explain and provide samples of all of these documents and others and explain when they should be implemented. Other documents to be explained include: Letters of Intent, Non-Disclosure Agreements, Authorizing Resolutions, Lien Search... More Info
$813Prof Practice -
The Basics of Blockchain and Cryptocurrency in Estate Planning
The Bitcoin network came into existence in 2009 and since then, internet currencies have made incredible strides. Their credibility is such that cryptocurrencies are accepted as secure forms of payment, they can be digitally stored and do not require a bank or middleman. This CLE course will present the fundamentals of cryptocurrency and how they may be a factor in your estate planning. More Info
$291Prof Practice -
SPAC IPOs: Hotter Than Ever and How They Work With Forms
A Special Purpose Acquisition (SPAC) requires special consideration. This CLE course will explain how to formulate, file and implement a public offering for an SPAC. Insights, strategies and examples will be used to illustrate the SPAC process. Presented by nationally-recognized and widely published attorney Dan Brecher, who has appeared on CNN, CNBC and countless others, the course will apply to attorneys who represent any type of business entity. More Info
$551.5Prof Practice -
Guiding Witnesses Through The Minefield of FINRA On-The-Record Interviews (OTRs)
On-the-record interviews (OTR’s) are a key technique for Financial Industry Regulatory Authority investigations. This CLE course will explain FINRA’s OTR methodologies and how to best prepare to represent witnesses during these types of proceedings. The course will explain the overall goals of FINRA as well as provide goals for witnesses as well as strategies for what they should avoid. More Info
$291Prof Practice -
Essentials of Corporations, Partnerships and LLC's
Presented by business lawyers Eli Greenberg and Mark Silverstein, this CLE course will offer an overview of the four principle business entities - Corporations, General Partnerships, Limited Liability Companies, and Limited Partnerships. The course will explain the ins and outs of organizing, managing and financing such entities as well as how to deal with mergers & acquisitions and option plans. Fiduciary duties and indemnification of management will also be discussed. More Info
$551.5Prof Practice -
Collateralized Debt Obligations and Credit Default Swaps: A Guide for Lawyers
What are Collateralized Debt Obligations (CDOs) and Credit Default Swaps (CDS)? How did they come to play, and continue to play, such prominent roles in the global economy? Ever wanted to know the difference between a CDO and a CLO? What are TruPs CDOs? And why are they so controversial as to remain in news headlines today? Get a real understanding of CDOs and CDSs, how they are structured and the litigation landscape regarding these investments today. This CLE course, presented by... More Info
$813Prof Practice -
What Attorneys Need to Know About Capital Markets and Ratings
Ratings play a critical role in today's capital markets and the global economy. While lawyers come across ratings every day, they may not know what a rating actually means. Many do not understand the role that ratings played in the Credit Crisis. This informative CLE course presented by Jack Chen, a New York attorney and ratings expert, explains everything a lawyer should know about ratings and rating agencies. The course examines the regulatory framework and explains who uses ratings... More Info
$551.5Prof Practice -
Introduction to Structured Finance
An alphabet soup made up of RMBS, CMBS, CDOs, SIVs have been in the press for the last few years and while they perform an integral part of the capital markets, few know what they are. Some commentators and regulators have alleged that these sophisticated financial instruments were responsible for the Credit Crisis that nearly destroyed the global economy. What are these structured products, how do they work and who created them? New York attorney and subject matter expert Jack Chen... More Info
$551.5Prof Practice
