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
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Courses priced individually at $731
  • 5 Ethics
  • 1 Cyber/Ethics
  • 1 Diversity/Inclusion

Securities Law Bundle Includes:

  • $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

    Financial Crimes: Outpacing the Threats

    General Credits: 1

    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 theoreti...

  • $34

    Cybersecurity, Data Protection and AI Ethics: Identifying and Avoiding Common Pitfalls

    Cyber/Ethics Credits: 1

    This CLE course delves into the current cybersecurity risk landscape, focusing on the ABA Model Rules regarding competency. It addresses the impact of technology on the security and privacy of client communications, information management, billing processes, and the oversight of law firm staff. The...

  • $29

    Promoting Market Integrity: FINRA’s Role in Market Structure

    General Credits: 1

    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 marke...

  • $34

    Diversity & Inclusion: Recognizing the Damaging Effects of Implicit Bias in the Workplace

    Diversity/Inclusion Credits: 1

    Implicit bias, increasingly studied and discussed, involves subconscious associations our minds create linking various concepts and ideas. These biases arise from our experiences, cultural backgrounds, societal norms, media influences, and other factors. This CLE program explores the nature of...

  • $29

    Modernizing Off-Channel Communications Supervision

    General Credits: 1

    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 requirement...

  • $29

    Conflicts of Interest in the Financial Services Industry: What Every Attorney Needs to Know

    General Credits: 1

    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 ad...

  • $34

    Legal Ethics: Avoiding the Common Mistakes of Bad Lawyering

    Ethics Credits: 1

    This CLE course delves into the common pitfalls and errors lawyers make that attract Bar scrutiny and can damage their reputations. Key topics include the duty to communicate significant developments in a case, managing client expectations regarding the scope of representation, safeguarding confide...

  • $29

    Developments in Remote Supervision

    General Credits: 1

    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 curre...

  • $34

    Recognizing and Handling Conflicts of Interest

    Ethics Credits: 1

    Effectively managing conflicts of interest is a crucial aspect of legal ethics, and this course will provide attorneys with the necessary tools to navigate these challenges. The session will cover key considerations for identifying and addressing conflicts, including methods for conflict screening...

  • $29

    Ask FINRA Senior Leaders

    General Credits: 1

    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. Th...

  • $29

    Technology Governance: Mitigating Risk Throughout the Vendor Lifecycle

    General Credits: 1

    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...

  • $34

    Ethical Mediation: Principles and Practices in Dispute Resolution

    Ethics Credits: 1

    Over the past decade, Alternative Dispute Resolution (ADR), particularly mediation, has seen a significant rise in use. Despite this, many legal professionals remain unfamiliar with the nuances of the process. In this course, Judge Scheinkman will explore the critical role of ethical considerations...

  • $29

    Crowdfunding Capital Raises: Considerations for Broker-Dealers & Funding Portals

    General Credits: 1

    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: Regulatio...

  • $29

    The Latest in Private Placement Sales Oversight

    General Credits: 1

    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 In...

  • $34

    Lawyers and Generative Artificial Intelligence: What Could Go Wrong: Ethical and Other Concerns

    Ethics Credits: 1

    Explore the transformative impact of generative artificial intelligence (GAI) on the legal profession in this comprehensive CLE program. As GAI continues to revolutionize the field, its applications in litigation and broader legal services are becoming indispensable. This course delves into the...

  • $29

    FINRA's Disciplinary Hearing Process

    General Credits: 1

    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...

  • $29

    The Progression of Regulation Best Interest and Form CRS

    General Credits: 1

    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 In...

  • $29

    Fixed Income Securities Regulatory Outlook

    General Credits: 1

    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 prior...

  • $29

    Crypto Assets: Trends, Regulatory Developments and Resources

    General Credits: 1

    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....

  • $29

    Compliance and Legal Trends in The Financial Industry

    General Credits: 1

    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 transform...

  • $29

    The State Of The Art of Investment Advisor Regulations

    General Credits: 1

    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...

  • $34

    Navigating Ethical Challenges: AI Adoption in Legal Practice

    Ethics Credits: 1

    AI tools are being used to accomplish an untold number of tasks in countless industries, and their use is only getting more widespread. This CLE course will focus on the responsible use of AI in the legal industry and how to ensure your use is aligned with the Model Rules of Professional Conduct....

  • $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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