Securities Law Bundle - Ohio CLE

We have selected our most popular lectures and bundled them together into our Securities Law Bundle. This Bundle contains 12 Credit Hours of CLE Lectures - Including 2.75 Credit Hours of "Professional Conduct” topics.

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Ohio CLE
Accreditation Info

Courses purchased through UnitedCLE.com are provided and fully accredited by The National Academy of Continuing Legal Education, a self-study established sponsor (sponsor number 14232) by the Ohio Commission on Continuing Legal Education. To view our full accreditation details please .

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12¼
Credit Hours
of CLE Lectures
  • 3 Attorney Conduct
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Only $199
Save $161
Courses priced individually at $360
  • 3 Attorney Conduct

Securities Law Bundle Includes:

  • $29

    Overview of FinTech Regulation and Compliance

    General Credits: 1

    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, securit...

  • $29

    Cryptocurrency and the Blockchain: Understanding the Landscape of Legal Issues and Offerings

    General Credits: 1

    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 deter...

  • $29

    Building a Successful Solo Mergers and Acquisitions Practice

    General Credits: 1.25

    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.

  • $34

    In the Beginning... and Before: Ethical Considerations at the Outset of Representation

    Attorney Conduct Credits: 1

    This two part CLE course will address the professional responsibilities that attorneys have prior to representing clients. The course will begin with solicitation and barratry including practices such as ambulance chasing as well as conduct, consequences, enforcement and other rules of professi...

  • $34

    Ethics of Legal Writing

    Attorney Conduct Credits: 1

    Ethical issues can befall even the most experienced attorneys. This CLE course will examine five of the more common ethical pitfalls in writing, including plagiarism, frivolous writing, failure to cite adverse authority, incivility in legal writing, and ghostwriting. The course will explain how...

  • $29

    Regulation Best Interest and Form CRS: Recent Observations and What to Expect

    General Credits: 1

    This CLE course will explain the new Regulation Best Interest (Reg BI) and Form CRS (client relationship summary) rules and the requirements of compliance. The course will explain how firms are complying with these rules, the examination process, tips, strategies and helpful resources to help w...

  • $34

    The Ethics and Art of Settlement at Mediation

    Attorney Conduct Credits: 1

    Mediation has many benefits both for attorneys and for their clients. This informative CLE course will present the ways in which attorneys may benefit from the mediation process including in presentation, psychology, and strategies that will better your chances of success. The course will also...

  • $55

    Setting Up Your Securities Clients For Success

    General Credits: 2

    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 underw...

  • $29

    Fraud Detection and Prevention

    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 identifying problematic situations and explain the proce...

  • $29

    Market Regulation Priorities

    General 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 offer insights on equities, options and fixed incom...

  • $29

    Guiding Witnesses Through The Minefield of FINRA On-The-Record Interviews (OTRs)

    General Credits: 1

    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 FINR...

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