Attorney Professionalism in the Capital Markets and Financial Service Industry

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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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June 23
This course aired live on Wednesday, June 23, 2021
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About This Course

This CLE course will explain the role of an attorney in capital markets. The course will explain legal opinions related to public and private offerings, issues related to serving as an advisor on a corporate board and a representative of officers, directors or shareholders in regulatory investigations and government proceedings. SEC Rule 102€, disciplinary proceedings, civil litigation and how to coordinate with other professionals such as CPA’s will all be addressed.

*This course qualifies as a Transitional course but can only be taken by Newly Admitted attorneys in NY that have a special exemption from the requirement that skills and ethics credits be taken in an approved live format. This course can be taken by all Experienced NY attorneys.

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