Tennessee 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 TN distance learning CLE provider. To view NACLE’s accreditation details, please click here.

15.12 Credits
w/ 4.45 Ethics
Only $229
Courses Priced
Individually at $480

We have selected our most popular lectures and bundled them together into our Securities Law Bundle. This Bundle contains 15 Credit Hours of CLE Lectures - including 3 ethics credits. *Effective 3/27/2020 the Tennessee Supreme Court has issued an order waiving the 8-hour distance learning CLE limitation for the 2019 and 2020 requirement. Attorneys can now complete any portion of their 2019 and 2020 CLE requirement via On Demand programming until December 31, 2020.

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
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:1.6
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:1.35
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:1.6
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
Practicing lawyers must do everything in their power to properly represent their client, but that does not mean they are exempt from certain ethical obligations. This CLE course will present the main issues in ethics and ethical management. The cour...
Ethics Credits:1.5
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
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:1.07
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
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
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
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
15.12 Credits
w/ 4.45 Ethics
Only $229
Courses purchased through UnitedCLE.com are provided and fully accredited by The National Academy of Continuing Legal Education, a TN distance learning CLE provider. To view NACLE’s accreditation details, please click here.