Securities Law Bundle - New York CLE

We have selected our most popular lectures and bundled them together into our Securities Law Bundle. This Bundle contains 24 Credit Hours of NY CLE Lectures - Including 4 Credit Hours of Ethics, 1 Credit Hour of Diversity and 1 Credit Hour of Cyber.

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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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24
Credit Hours
of CLE Lectures
  • 5 Ethics
  • 1 Diversity/Inclusion
  • 1 Cyber/Ethics
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Only $349
Save $407
Courses priced individually at $756
  • 5 Ethics
  • 1 Diversity/Inclusion
  • 1 Cyber/Ethics

Securities Law Bundle Includes:

  • $55

    Safeguarding Your Business & Investment Clients with Proactive Asset Protection & Estate Planning

    General Credits: 2

    The goal of Asset Protection & Estate Planning Program for Business & Investment Clients is to address both legacy and family considerations as well as provide complete asset protection while optimizing tax benefits. This CLE course will provide everything you need to know to design a program th...

  • $65

    The Ethics of Witness Preparation: Does ABA Ethics Rules Change the Dynamics for Preparing Witnesses?

    Ethics Credits: 1.5

    Led by a team of highly experienced trial and litigation specialists, this informative CLE course will address the impact of new ABA Formal Opinion 508, “The Ethics of Witness Preparation,”. The course will present the impact of the opinion on counsel’s approach to working with witnesses, including...

  • $29

    Emerging Developments in Artificial Intelligence for Lawyers

    General Credits: 1

    Artificial Intelligence has become an integral part of the legal landscape, with a constant influx of new tools and providers. It is imperative for legal professionals to grasp the intricacies of AI to adeptly advocate for their clients and remain competitive. This CLE course delves into essential...

  • $29

    Financial Crimes: Outpacing the Threats

    General Credits: 1

    In today's rapidly evolving financial landscape, the threat of financial crimes is ever-present and increasingly sophisticated. This CLE course delves into the latest trends and emerging tactics in financial crime, including fraud, money laundering, and cybercrime. Through a combination of theoreti...

  • $29

    Promoting Market Integrity: FINRA’s Role in Market Structure

    General Credits: 1

    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 marke...

  • $34

    Diversity & Inclusion: Recognizing the Damaging Effects of Implicit Bias in the Workplace

    Diversity/Inclusion Credits: 1

    Implicit bias, increasingly studied and discussed, involves subconscious associations our minds create linking various concepts and ideas. These biases arise from our experiences, cultural backgrounds, societal norms, media influences, and other factors. This CLE program explores the nature of...

  • $29

    Conflicts of Interest in the Financial Services Industry: What Every Attorney Needs to Know

    General Credits: 1

    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 ad...

  • $29

    Ask FINRA Senior Leaders

    General Credits: 1

    In this CLE session, senior staff from FINRA will provide crucial updates on current regulatory issues and initiatives. Join us as expert panelists delve into FINRA's risk-based examination program, recent disciplinary actions, market regulation programs, and the latest and forthcoming rules. Th...

  • $34

    Cybersecurity, Privacy, and Data Protection Issues: Ethical Considerations and New Requirements

    Cyber/Ethics Credits: 1

    Several states are currently considering mandating CLE hours that concentrate on cybersecurity, privacy, and data protection. The obligation for lawyers to possess technology competency is not new, as many states have already adopted the American Bar Association (ABA) Model Rule's requirement. The...

  • $29

    Technology Governance: Mitigating Risk Throughout the Vendor Lifecycle

    General Credits: 1

    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...

  • $29

    Crowdfunding Capital Raises: Considerations for Broker-Dealers & Funding Portals

    General Credits: 1

    Join our expert panel for a deep dive into Regulation Crowdfunding (Regulation CF) and its impact on broker-dealers and funding portals. This CLE session will provide valuable insights into regulatory risks and best practices for maintaining compliance. Key discussion points include: Regulatio...

  • $29

    The Latest in Private Placement Sales Oversight

    General Credits: 1

    Stay informed about regulatory developments, compliance obligations, and best practices for selling private placements. This CLE session will cover: An overview of regulatory updates and compliance obligations related to private placements Effective practices for adhering to Regulation Best In...

  • $34

    Lawyers and Generative Artificial Intelligence: What Could Go Wrong: Ethical and Other Concerns

    Ethics Credits: 1

    Explore the transformative impact of generative artificial intelligence (GAI) on the legal profession in this comprehensive CLE program. As GAI continues to revolutionize the field, its applications in litigation and broader legal services are becoming indispensable. This course delves into the...

  • $29

    FINRA's Disciplinary Hearing Process

    General Credits: 1

    This CLE course features perspectives from FINRA Enforcement counsel, defense counsel, and a hearing panelist. The course aims to enhance your understanding of FINRA's disciplinary hearing process, focusing on the key differences between self-regulated hearings and those conducted by administrative...

  • $29

    The Progression of Regulation Best Interest and Form CRS

    General Credits: 1

    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 In...

  • $29

    Fixed Income Securities Regulatory Outlook

    General Credits: 1

    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 prior...

  • $29

    Crypto Assets: Trends, Regulatory Developments and Resources

    General Credits: 1

    Dive into the latest updates in cryptocurrency regulation in this insightful CLE session. We'll cover a range of critical topics, including the recent crypto-assets retail communications initiative, emerging trends in crypto misconduct, and practical resources for navigating the evolving landscape....

  • $29

    Compliance and Legal Trends in The Financial Industry

    General Credits: 1

    Join leading experts from member firms as they explore the latest trends and strategic priorities shaping the legal and compliance landscape. In this dynamic CLE session, our panelists will share their invaluable insights on how evolving business, regulatory, and technological changes are transform...

  • $29

    The State Of The Art of Investment Advisor Regulations

    General Credits: 1

    This CLE course provides practical guidance for investment advisers following the Fifth Circuit's decision to vacate the SEC's latest Private Investment Adviser regulations. We will explore the reasons behind the SEC's decision not to appeal and the resulting implications. The course will also...

  • $34

    Navigating Ethical Challenges: AI Adoption in Legal Practice

    Ethics Credits: 1

    AI tools are being used to accomplish an untold number of tasks in countless industries, and their use is only getting more widespread. This CLE course will focus on the responsible use of AI in the legal industry and how to ensure your use is aligned with the Model Rules of Professional Conduct....

  • $65

    The Ten Worst Ethics Nightmares You Can Have

    Ethics Credits: 1.5

    Legal ethics are a dangerous area – one mistake can derail your career. This CLE course will present a rapid analysis of the 10 disastrous legal ethics errors you can. The ABA Model Rules of Professional Responsibility are often a solid guide for clarity in the ethical expectations of the legal pro...

  • $29

    Common Issues with Navigating the Changing Landscape of Multistate Taxation of Crypto Currency & Crypto Based Companies

    General Credits: 1

    State Taxation varies across US states. The State and Local Tax (SALT) levels in particular are different for every jurisdiction with their own tax code and tax treatment for different types of applications. For example, the revenue from a particular company is classified in California may vary wid...

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