Securities Law Non-Resident Bundle - New Jersey CLE

NJ rule 201:8(a) states that attorneys who reside in, work in, and are licensed in a mandatory CLE jurisdiction that does not require Live CLE are also exempt from Live CLE for NJ. This Bundle contains all 24 hours of NJ approved on-demand courses with 5 hours of Ethics and Professionalism which includes 2 hours of Diversity, Inclusion, and Elimination of Bias.

CLE Courses Available on DVDs, Audio CDs, USB Stick, Online & iOS/Android App and Live Webinars!

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24.4
Credit Hours
of CLE Lectures
Save $580
Only $495
Save $580
Courses priced individually at $1,075
  • 4 Ethics
  • 2.4 Diversity/Inclusion

Securities Law Non-Resident Bundle Includes:

  • $50

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

    Diversity/Inclusion Credits: 1.1

    Implicit bias, the unconscious associations that shape our thoughts and actions, is increasingly recognized as a crucial area of study. These biases often originate from our personal experiences, cultural backgrounds, societal norms, and media influences. This CLE program offers an in-depth explora...

  • $50

    Update On Conflicts Of Interest for Attorneys: Rules and Recent Cases & Opinions

    Ethics Credits: 1.1

    Management of conflicts of interest present one of the greatest challenges to the efficient and ethical operation of a law firm and accordingly, a good understanding of the rules, and knowledge of important cases and opinions interpreting the rules, is essential. While all states in the US hav...

  • $50

    The State Of The Art of Investment Advisor Regulations

    General Credits: 1.1

    This CLE course explores the latest developments in Investment Adviser Regulation, focusing on practical steps for investment advisers in light of the Fifth Circuit's decision to vacate the SEC's recent Private Investment Adviser regulations. We'll examine why the SEC chose not to appeal the ru...

  • $50

    Modernizing Off-Channel Communications Supervision

    General Credits: 1.1

    Join panelists as they discuss observations from thematic reviews of off-channel communications such as text and social media platforms and effective techniques firms are using to provide oversight of their firms’ communications. This session will discuss: Communications Landscape Rule Requireme...

  • $50

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

    General Credits: 1.1

    This CLE session explores aspects of Regulation CF and considerations for broker-dealers and funding portals within the crowdfunding realm. Join panelists at this session to gain knowledge on emerging regulatory risks and practices broker-dealers and funding portals can implement to stay in complia...

  • $50

    Developments in Remote Supervision

    General Credits: 1.1

    This CLE course will explore the latest remote supervision developments including the remote inspection pilot program, amendments to supervision rules to cover Residential Supervisory Locations and risk-based supervision best practices. This session will discuss: Sunsetting of current COVID rel...

  • $50

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

    General Credits: 1.2

    Do you refer clients to financial advisers? Lawyers need to understand the regulatory framework that distinguishes financial advisers, particularly in light of new (2020) disclosure documents (Form CRS). In this program, we will cover how financial advisers are regulated; how standards of care...

  • $50

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

    General Credits: 1.1

    State Taxation varies across every state in the United States. Specifically at a State and Local Tax (SALT) level, every jurisdiction has its own tax code and tax treatment for various applications. For example, the way California may classify revenue from a certain company is not the same as Texas...

  • $50

    Ask FINRA Senior Leaders

    General Credits: 1.2

    During this CLE session, FINRA senior staff provide updates on key regulatory issues and initiatives. Panelists address questions relating to FINRA’s risk-based examination program, disciplinary actions, market regulation programs and new and anticipated rules, among other topics. This session...

  • $50

    Technology Governance: Mitigating Risk Throughout the Vendor Lifecycle

    General Credits: 1.1

    This CLE course dives into factors firms should consider when outsourcing activities or functions to third-party providers. Hear from panelists as they discuss how to mitigate vendor risk with strong technology governance programs that encompass the lifecycle of vendor engagement, from onboarding,...

  • $50

    The Latest in Private Placement Sales Oversight

    General Credits: 1.1

    Learn about regulatory developments, compliance obligations and effective compliance practices related to the sales of private placements, including relevant topics such as Regulation Best Interest, communications, due diligence and conflicts of interest. This session will discuss: Review regu...

  • $50

    Financial Crimes: Outpacing the Threats

    General Credits: 1.2

    This CLE will explore how threat actors are attempting to defraud investors through tactics including market manipulation, new account fraud, cryptocurrency and generative AI. Panelists address the most prominent threats and share effective practices and resources to help firms proactively combat c...

  • $50

    Promoting Market Integrity: FINRA’s Role in Market Structure

    General Credits: 1.1

    Hear regulatory and industry perspectives on FINRA’s role in promoting market integrity and on the new and evolving rules such as current market structure proposals, securities lending and how transparency initiatives are shaping the market. This CLE discusses: New and emerging rules SEC marke...

  • $50

    The Progression of Regulation Best Interest and Form CRS

    General Credits: 1.1

    During this CLE session, panelists discuss recent observations on firm adherence to Regulation Best Interest and Form CRS and share guidance on Reasonably Available Alternatives, the Care Obligation, and Conflicts of Interest. This session will discuss: Actions: ­ Recent SEC and FINRA findings in...

  • $50

    Fixed Income Securities Regulatory Outlook

    General Credits: 1.1

    This CLE session addresses the latest regulatory focuses related to both fixed income and municipal securities, including Time of Trade disclosures, SEA Rule 15c2-11, and considerations firms should keep in mind with respect to exam priorities, findings, and enforcement actions. This session wil...

  • $50

    Compliance and Legal Trends in The Financial Industry

    General Credits: 1.1

    Join industry leaders for an in-depth discussion on the latest legal trends, critical focus areas, and innovative strategies shaping legal and compliance functions within financial firms. This CLE session will provide valuable insights into how these changes are impacting the sector and share their...

  • $50

    FINRA's Disciplinary Hearing Process

    General Credits: 1.1

    Hear from FINRA Enforcement counsel, defense counsel, and a hearing panelist as they broaden awareness about FINRA's disciplinary hearing process and highlight distinctions between self-driven hearings and administrative law judge hearings. This CLE course will discuss: The differences between...

  • $50

    Crypto Assets: Trends, Regulatory Developments and Resources

    General Credits: 1.2

    Join this session to learn about the latest cryptocurrency regulatory developments including the crypto-assets retail communications sweep and rule proposal, current trends in crypto misconduct, and resources and guidance firms can leverage. This session will discuss: • Regulatory Developments:...

  • $75

    ABA Model Rules Of Professional Conduct and AI Ethics: Key Highlights of the New Challenges Facing Attorney Compliance

    Ethics Credits: 1.8

    Every rule of the ABA’s Model Rules of Professional Conduct has been impacted by the presence of artificial intelligence. During this CLE, we will examine key concerns arising under the ABA Model Rules when juxtaposed against the realities and challenges imposed when practicing law alongside the le...

  • $50

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

    Ethics Credits: 1.1

    Artificial intelligence and, more specifically, generative artificial intelligence (GAI) is increasingly used by attorneys. GAI is touted as being revolutionary and "game-changing" for the legal profession for purposes of litigation and providing broader legal services to clients. However, GAI brin...

  • $50

    Implicit Bias and DEI Today: Challenges & Opportunities

    Diversity/Inclusion Credits: 1.3

    All human beings including lawyers have implicit biases. Indeed, such biases result from natural biochemical processes and reactions in the human brain. Knowing the science of implicit bias enhances our understanding of reactive human behavior while also providing key indicators to avoid significan...

24.4
Credit Hours
of CLE Lectures

CLE Your Way, Anywhere!
DVDs, Audio CDs, USB Stick, Online & iOS/Android App included at no extra charge!

Course Media Options
Only $495
Save $580
Courses priced individually at $1,075

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