Washington Securities Law Mini Bundle

CLE Accreditation Info

Courses purchased through UnitedCLE.com are provided and fully accredited by The National Academy of Continuing Legal Education, a Washington State Bar Accredited CLE Sponsor. To view NACLE’s accreditation details, please click here.

25 Credits
w/ 18.25 Law & Legal Proc. & 6.75 Ethics
Only $349
Courses Priced
Individually at $774

We have selected our most popular lectures and bundled them together into our Securities Law Mini Bundle. This Bundle contains 25 Credit Hours of CLE Lectures - Including 15 Law & Legal Procedure Credits and 6 Ethics Credits.

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:1.25
With more and more of the workforce adapting to working from home, the issue of security has come to the forefront. Within the legal industry, this issue is critical as the potential for mishandling confidential information and violating duties to c...
Ethics Credits:1
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
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...
Law & Proc. 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...
Law & Proc. 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...
Law & Proc. 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...
Law & Proc. 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....
Law & Proc. Credits:1
With a focus on FINRA and MSRB mark-up disclosure requirements, this advanced CLE course will review securities covered by the rule and how to calculate mark-ups on the basis of the prevailing market price. Effective practices and tips as well as ind...
Law & Proc. 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...
Law & Proc. Credits:1
Ten years ago almost no one had heard of virtual currency, but today, blockchain and smart contracts are part of everyday lingo. But how many people truly understand what these are, and how they are impacting financial institutions and transactions....
Law & Proc. 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...
Law & Proc. 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...
Law & Proc. Credits:1
High-stakes litigation can often change the rules of the game. When the situation gets heated, attorneys may find their professional ethics at risk as an opponent’s advocacy of their client’s interest leads to obstructive behavior. This CLE course w...
Ethics Credits:1.5
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...
Law & Proc. 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...
Law & Proc. 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...
Law & Proc. 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....
Law & Proc. 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...
Law & Proc. Credits:1
As people switch to online banking, the use of wire transfer payments has risen as well. With a focus on both consumer and commercial payments, this CLE course will review issues related to payments made by or through banks. Claims against banks conc...
Law & Proc. Credits:2.5
25 Credits
w/ 18.25 Law & Legal Proc. & 6.75 Ethics
Only $349
Courses purchased through UnitedCLE.com are provided and fully accredited by The National Academy of Continuing Legal Education, a Washington State Bar Accredited CLE Sponsor. To view NACLE’s accreditation details, please click here.