Pennsylvania Securities Law Bundle

CLE Accreditation Info

Courses purchased through UnitedCLE.com are provided and fully accredited by The National Academy of Continuing Legal Education, a Pennsylvania Accredited CLE Provider (Provider ID 6208). To view NACLE’s accreditation details, please click here.

12 Credits
w/ 2 Ethics
Only $199
Courses Priced
Individually at $358

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 Credit Hour of Ethics. The Supreme Court of Pennsylvania issued a Court Order temporarily waiving the 6 hour limitation on distance learning credits for 2020 compliance deadlines. Attorneys in Pennsylvania may now complete all 12 hours of their 2020 CLE requirements through approved distance learning activities. Therefore all PA attorneys can now satisfy their entire requirement with our DVDs, Audio CDs, Online & iOS/Android App courses.

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
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
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
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
In this instructive CLE course, FINRA staff and industry practitioners will review advertising compliance and sales practice as applicable to general brokerage firms as well as their registered representatives. Advertising compliance challenges and...
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
The area of attorney ethics seems to be in a constant state of flux with a steadily growing array of issues to worry about. This fascinating CLE course will cover the latest updates in legal ethics and a look ahead at what issues will arise in the c...
Ethics 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
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
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
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
12 Credits
w/ 2 Ethics
Only $199
Courses purchased through UnitedCLE.com are provided and fully accredited by The National Academy of Continuing Legal Education, a Pennsylvania Accredited CLE Provider (Provider ID 6208). To view NACLE’s accreditation details, please click here.