New York Securities Law Bundle

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 NACLE’s accreditation details, please click here.

24 Credits
w/ 4.5 Ethics & 1.5 Diversity/Inclusion
Only $349
Courses Priced
Individually at $828

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

Professional standards for lawyers and others working in the Capital Markets and Financial Service Industry may differ from other areas of business. This CLE course will provide an overview of subjects such as legal opinions, representation of organ...
Ethics Credits:1.5
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....
General Credits:1.5
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....
General Credits:1
This CLE course will provide practical advice on how firms and registered representatives can better assess customers and securities in order to comply with suitability obligations as set down by FINRA Suitability Rule 2111 and the SEC’s Proposed Re...
General Credits:1
Regardless of what business you’re in, the issues of implicit bias, diversity and inclusion has impacted your business. When it comes to the practice of law, this means attracting, providing services to and retaining an increasingly diverse clientel...
Div Credits:1.5
There are a variety of conflicts of interests that may, and often do, arise as a result of regulatory and examination priorities such as outside business activities (OBA) and private security transactions (PST’s). This CLE course, presented by FINRA...
General Credits:1
The practice of law involves interactions with a wide assortment of people from clients and opposing counsel to judges and courtroom staff. This CLE course will present the impact of civility on these interactions and how the rules of professional c...
Ethics Credits:1.5
BAR rules and ethical considerations regarding representation or often misunderstood. This lack of information can lead to mistakes that could be costly. This CLE course will explain ethical considerations related to representation and termination a...
Ethics Credits:1.5
The FAIR Act enacted a myriad of changes in rules pertaining to communications about digital assets and customer transaction accounts as well as Regulation Best Interests and the advertising issues related to it. This CLE course will discuss these c...
General Credits:1
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...
General Credits:1.5
Catastrophes – whether man-made or natural – are an ever-present reality. As a result, an understanding of insurance law is critical knowledge for corporate attorneys. Presented by Arnold F. Mascali, attorney and risk management specialist, this CLE...
General Credits:1.5
Designed to define and illustrate the impact of corporate governance and oversight in preventing governmental prosecution and enforcement, this CLE course will explain the role that boards of directors, senior management and others in an organizatio...
General Credits:1.5
Recent developments in the FinTech – financial technology – are wreaking havoc on the securities industry. This CLE course, presented by FINRA staff and industry representatives, will discuss these developments particularly in the fields of artificia...
General Credits:1
This CLE course will explain how to stay updated in the ever-evolving world of digital marketing and communications. The course will explain how to define digital marketing and digital communication as well as discuss various app based messaging serv...
General Credits:1
Risk evaluation is critical in assessing potential liability. This CLE course, presented by FINRA staff, will provide the necessary insight to identify and assess high risk activity amongst representatives. The course will explain how that risk can b...
General Credits:1
With a focus on FINRA and MSRB mark-up disclosure requirements, this advanced CLE course will review securities covered by the rule and how to calculate mark-ups on the basis of the prevailing market price. Effective practices and tips as well as ind...
General Credits:1
Enforcement trends and developments, priorities and principles that determine decision-making will all be discussed in this illustrative CLE course which utilizes real-life cases as examples. The course will provide guidance on compliance and regula...
General Credits:1
How a rule becomes a regulation and other fascinating insights into the FINRA Retrospective Rule Review process will be presented in this comprehensive CLE course. The course will explain upcoming rule changes, regulatory initiatives and how the adv...
General Credits:1
The sale of alternative investments include no small amount of due diligence obligations and effective practices. These include, but are not limited to, Private Placements, Regulation A+, Online Distribution Platforms, Opportunity Zone Funds Finders...
General Credits:1
Assessment of AML programs for potential pitfalls and vulnerability is critical for firms. This CLE course, presented by FINRA staff and industry experts, will explain regulatory trends and enforcement actions including those by the SEC and other ag...
General Credits:1
24 Credits
w/ 4.5 Ethics & 1.5 Diversity/Inclusion
Only $349
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 NACLE’s accreditation details, please click here.