New York CLE - All Courses
This is a listing of CLE Courses for New York. Please make your selection below of New York CLE courses. Click "Add To Cart" to purchase Individual CLE Courses. For more information about a particular CLE course, click on the "More Info" link. Click the "Preview" button to view a short preview of the course.
New York CLE
Accreditation Info
Courses purchased through UnitedCLE.com are provided and fully accredited by The National Academy of Continuing Legal Education, an Accredited NYS CLE Provider. To view our full accreditation details please .
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Fixed Income Securities Regulatory Outlook
This CLE session will delve into the most recent regulatory developments impacting fixed income and municipal securities. This comprehensive session will cover crucial topics such as Time of Trade disclosures, updates to SEA Rule 15c2-11, and critical insights for firms navigating examination priorities, findings, and enforcement actions. Key points of discussion will include: The latest amendments to SEA Rule 15c2-11. Detailed analysis of Time of Trade disclosures, with a focus on... More Info
$291Prof Practice -
Modernizing Off-Channel Communications Supervision
Join our panelists as they share insights from thematic reviews of off-channel communications, including text messages and social media platforms. Discover effective techniques firms are using to oversee their communications. This session will cover: The communications landscape Rule requirements for books and records, public communications, and supervision SEC and FINRA enforcement actions Observations from reviews of off-channel communications OSE-facilitated communications roundt... More Info
$291Prof Practice -
Promoting Market Integrity: FINRA’s Role in Market Structure
Gain insights from regulatory and industry experts on FINRA’s efforts to uphold market integrity and the impact of new and evolving regulations. This CLE program will cover: New and emerging rules SEC market structure proposals Securities lending practices Transparency initiatives shaping the market. More Info
$291Prof Practice -
Technology Governance: Mitigating Risk Throughout the Vendor Lifecycle
This CLE course delves into essential considerations for firms outsourcing activities or functions to third-party providers. Learn from panelists about mitigating vendor risk through robust technology governance programs that cover the entire vendor engagement lifecycle, from onboarding and ongoing due diligence to event response and offboarding. Topics include: Vendor management and due diligence per Regulatory Notice 21-29 (FINRA's reminder of supervisory obligations related to th... More Info
$291Prof Practice -
The Plaintiff Fact Sheet (“PFS”) in a Mass Tort Setting
This CLE course explores the Plaintiff Fact Sheet (PFS), a key document in Mass Tort litigation that functions as a customized set of written questions in place of standard interrogatories. In Mass Tort cases, parties negotiate the questions that appear in the PFS. Defendants aim to include detailed questions covering basic claimant information—like date of birth and marital status—as well as case-specific details such as the type and date of injury, and the claimant's medical history.... More Info
$551.5Prof Practice -
The Progression of Regulation Best Interest and Form CRS
This CLE program will explore recent observations on firms' compliance with Regulation Best Interest (Reg BI) and Form CRS. The discussion will provide valuable insights and practical guidance on key topics such as Reasonably Available Alternatives, the Care Obligation, and managing Conflicts of Interest. Key topics include: Recent findings by the SEC and FINRA regarding Reg BI and Form CRS compliance. Interpretation, guidance, and best practices: In-depth analysis of recent SEC... More Info
$291Prof Practice -
Winning Strategies for Soft Tissue Injuries
This CLE course will offer strategies for successful outcomes in jury trials for soft tissue injuries in car crashes. This course will focus on tried-and-true methods to winning compensation for clients on soft tissue sprain/strain types of injuries in crash cases. The strategies will be presented in a step-by-step manner, beginning with Voire Dire and ending with closing arguments. More Info
$291Prof Practice -
The Mediator's Toolkit: 15 Strategies Towards A Successful Mediation
Mediation is often described as an art rather than a science. While it's accurate that there's no singular formula for conducting a mediation, there are proven methods for fostering successful outcomes. The measure of success lies in achieving a Win-Win situation for all involved parties. This CLE presentation will delineate and explore strategies aimed at fostering dignified and productive mediations. These strategies are versatile and can be applied beyond mediation contexts, includin... More Info
$551.5Prof Practice -
Conflicts of Interest in the Financial Services Industry: What Every Attorney Needs to Know
Referring clients to financial advisers carries some degree of risk. Attorneys need to be knowledgeable about the regulatory framework that distinguishes financial advisers, particularly given the 2020 disclosure documents (Form CRS). This CLE course will explain the regulation of financial advisers and how standards of care differ. The course will offer strategies for recognizing potential conflicts of interest that may impact the adviser-client relationship as well as how new SEC di... More Info
$291Prof Practice -
The Chevron Doctrine: Revisited
Chief Justice Marshall famously stated in Marbury v. Madison that "it is emphatically the province and duty of the judicial department to say what the law is." Decades ago, Professor Benard Schwartz's lectures highlighted how the doctrine of separation of powers had been fundamentally altered as society became more complex. The United States Supreme Court heard oral arguments that could lead to significant changes in administrative law. The court is considering whether to overrule or m... More Info
$1073.5Prof Practice
