Securities Law Bundle - New York CLE

We have selected our most popular lectures and bundled them together into our Securities Law Bundle. This Bundle contains 24 Credit Hours of NY CLE Lectures - Including 4 Credit Hours of Ethics, 1 Credit Hour of Diversity and 1 Credit Hour of Cyber.

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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 .

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24
Credit Hours
of CLE Lectures
  • 5 Ethics
  • 1 Cyber/Ethics
  • 1 Diversity/Inclusion
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Only $349
Save $430
Courses priced individually at $779
  • 5 Ethics
  • 1 Cyber/Ethics
  • 1 Diversity/Inclusion

Securities Law Bundle Includes:

  • $55

    Safeguarding Your Business & Investment Clients with Proactive Asset Protection & Estate Planning

    General Credits: 2

    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 th...

  • $55

    Overhaul of Regulatory Capital Requirements Proposed By US Banking Regulators

    General Credits: 1.5

    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

    Compliance and Legal Trends

    General Credits: 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...

  • $29

    Market Structure: Current Developments and Future Trends

    General Credits: 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...

  • $29

    Current Issues Under Regulation Best Interest and Form CRS

    General Credits: 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...

  • $65

    The Ethics of Witness Preparation: Does ABA Ethics Rules Change the Dynamics for Preparing Witnesses?

    Ethics Credits: 1.5

    Led by a team of highly experienced trial and litigation specialists, this informative CLE course will address the impact of new ABA Formal Opinion 508, “The Ethics of Witness Preparation,”. The course will present the impact of the opinion on counsel’s approach to working with witnesses, including...

  • $29

    Financial Responsibility Rules and Relevant Touchpoints

    General Credits: 1

    Join us for an enlightening CLE course where our esteemed panelists will explore a range of topics related to SEC and FINRA financial responsibility rules. The discussion will encompass the regulatory obligations imposed on introducing, intermediary, carrying, and clearing firms as outlined in FINR...

  • $29

    Current Trends and Threats in Financial Crimes

    General Credits: 1

    During this CLE session, Deputy Director Abbate and Under Secretary Nelson engage in a comprehensive dialogue on the most recent advancements in financial crimes and the risks associated with illicit finance. The discussion encompasses novel and emerging threats concerning money laundering, fraud,...

  • $34

    Ethics in the Digital Era: What Attorneys Need to Know

    Cyber/Ethics Credits: 1

    Data breaches are becoming increasingly common, posing a great challenge to law firms. Between the Ethical Rules of Conduct, your individual state’s regulations on professional conduct and the potential for financial and other penalties, it’s critical to recognize and take steps to prevent as well...

  • $29

    Emerging Developments in Artificial Intelligence for Lawyers

    General Credits: 1

    Artificial Intelligence has become an integral part of the legal landscape, with a constant influx of new tools and providers. It is imperative for legal professionals to grasp the intricacies of AI to adeptly advocate for their clients and remain competitive. This CLE course delves into essential...

  • $29

    Ask FINRA Senior Staff

    General Credits: 1

    In this CLE program, senior staff members from FINRA deliver informative updates on crucial regulatory matters. The panelists engage with the audience, addressing inquiries concerning FINRA's risk-based examination program, disciplinary actions, market regulation initiatives, as well as new and for...

  • $65

    The Ten Worst Ethics Nightmares You Can Have

    Ethics Credits: 1.5

    Legal ethics are a dangerous area – one mistake can derail your career. This CLE course will present a rapid analysis of the 10 disastrous legal ethics errors you can. The ABA Model Rules of Professional Responsibility are often a solid guide for clarity in the ethical expectations of the legal pro...

  • $34

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

    Diversity/Inclusion Credits: 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...

  • $34

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

    Ethics Credits: 1

    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

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

    Ethics Credits: 1

    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

    Navigating the SEC and CFTC Whistleblowing Programs

    General Credits: 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

    The Firm Perspective on Monitoring and Protecting Against Financial Crimes

    General Credits: 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...

  • $29

    Capital Formation: Current Regulatory Landscape and Challenges

    General Credits: 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

    Hot Topics in Municipal Securities and Other Fixed Income

    General Credits: 1

    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 pro...

  • $55

    The Case Against Tipper X

    General Credits: 1.5

    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

    Common Issues with Navigating the Changing Landscape of Multistate Taxation of Crypto Currency & Crypto Based Companies

    General Credits: 1

    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 wid...

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