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/ 7.5 Ethics & 1 Diversity/Inclusion
Only $349
Courses Priced
Individually at $808

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
Even under normal circumstances, the application of ethics during litigation is challenging. But during times of upheaval, with a downward pressure on fees it becomes even more difficult. The current work from home environment also contributes, addi...
Ethics Credits:3.5
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 requireme...
General Credits:1.5
Seemingly innocuous comments, pronoun use and jokes can all seem innocent, but may amount to an inadvertently hostile environment for employees. Employee turnover as a result of such toxic environments are never good for a businesses’ bottom line. T...
Div Credits:1
Current regulations and new rules have shifted market regulation priorities. This CLE course will offer an update on recent initiatives and rules and how they impact the priorities of today. The course will be presented by FINRA panelists who will o...
General Credits:1
The recently amended rules and new brand standard for municipal dealers’ advertising will be presented in full in this CLE course. New formal guidance for dealer and advertiser use of social media and how regulators are applying the modernized stand...
General Credits:1
Even fraud has fashion trends. This CLE course will present recent or noteworthy fraud cases and how these trends impact the financial services industry. The course will focus on frauds that impact the brokerage industry, offer strategies for identi...
General Credits:1
Cybersecurity is a huge concern in these digital times. This CLE course will focus on existing concerns that have taken on greater importance recently as well as new issues that have arisen as a result of the COVID-19 pandemic. The course will ident...
General Credits:1
Attorney client privilege is one of the basic tenets of client representation. But what is it really? When is it applicable and under what circumstances can it be waived? To whom does it apply? This CLE course will explain the basic concepts an...
Ethics 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
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
For those new to FINRA’s advertising rules, there is a great deal to absorb. This CLE course will offer a complete overview on FINRA Rule 2210 – Communications with the Public. The course will explain filing requirements and exemptions, record-keepi...
General Credits:1
With the recent publication of FINRA”s Regulatory Notice 19-31 concerning Disclosure Innovations in Advertising and Other Communications with the Public, even seasoned attorneys need an update. This CLE course will offer insights by industry and FIN...
General Credits:1
Regulatory Technology or RegTech has become the newest greatest development in regulatory compliance. This CLE course will explain the technological innovations being applies to creating efficient, effective risk-based compliance programs for commun...
General Credits:1
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 requir...
General Credits:1
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 toke...
General 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
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
24 Credits
w/ 7.5 Ethics & 1 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.