Washington DC Securities Law Bundle

CLE Accreditation Info

CLE is voluntary for Washington DC attorneys. To view further accreditation details, please click here.

12 Credits
w/ 3 Ethics Credits
Only $199
Courses Priced
Individually at $360
We have selected our most popular lectures and bundled them together into our Securities Law Bundle. This Bundle contains 12 Credit Hours of DC CLE Lectures - Including 9 General Credits and 3 Ethics Credits.
Ethical guidelines are straightforward in principle, but when they need to apply to real-world litigation, it can become more complicated. Between the pressure applied by clients and that of the myriad malpractice cases compounded by the quick respon...
Ethics Credits:1.75
This CLE course will explain how legal standards of fiduciary duty are adaptable to the capital markets and financial services industry. Presented by attorney Norman Arnoff, the course will review tips and strategies to protect against legal action...
Ethics Credits:1.25
The senior citizen demographic grows each year and planning for the later stages in life has taken on new urgency as the population lives longer. This CLE course, joined by representatives from regulatory agencies, is designed to help you address the...
General Credits:1
Regulators on the front lines of securities fraud offer information on current fraud schemes and potential threats in this riveting CLE course. The course will explain how to identify potential dangers associated with financial fraud and who to turn...
General Credits:1
In this CLE course, industry practitioners will offer their experiences during FINRA cycle examinations, the corrective action taken and compliance procedures and practices based on their experiences. The course will provide expert guidance on prepar...
General Credits:1
Compliance professionals face a myriad of challenges as the separation of business and compliance supervision roles becomes more complicated. In the CLE course, FINRA staff will be joined by industry practitioners to discuss how firms are re-defining...
General Credits:1
FINRA’s newly restructured Enforcement department, its workings and the various enforcement groups comprised will be the focus of this informative CLE course. The course will highlight recently-implemented changes to business processes and trends in...
General Credits:1
Designed to provide insight on implementing an effective risk-based branch office inspection office, this CLE course will explain FINRA’s Member Regulation Department approach to executed examinations, provide strategies for preparing for and learnin...
General Credits:1
This fascinating and timely CLE course provides guidance on suspicious activity monitoring and investigations in anti-money laundering. Panelists will provide a firm understanding of the AML regulations and program requirements, best practices for id...
General Credits:1
Designed to guide attendees on best practices for supervising private security transactions and monitoring outside business activities, this CLE course presented by FINRA panelists will also address common OBA deficiencies found during examinations....
General Credits:1
This timely CLE course provides much needed updates on market regulation priorities as well as current initiatives and rule-making. The course will help you to understand market regulations initiatives and priorities, FINRA’s market regulation examin...
General Credits:1
12 Credits
w/ 3 Ethics Credits
Only $199
CLE is voluntary for Washington DC attorneys. To view further accreditation details, please click here.