New York CLE - Business Law Courses
This is a listing of Business Law 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.
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The Latest in Private Placement Sales Oversight
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 regulatory developments, compliance obligations and effective compliance practices related to private placements, including discussion about Reg BI, Communications, Due Diligence and Conflicts of I... More Info
$501Prof Practice -
Developments in Remote Supervision
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 relief, and the implementation of Rules 3110.18 and 3110.19 How to functionally report residential locations and RSLs in Firm Gateway Remote supervision best practices and considerations FAQs fo... More Info
$501Prof Practice -
Fixed Income Securities Regulatory Outlook
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 will discuss: Updates to SEA Rule 15c2-11 Time of Trade Disclosures, including Municipal Fund Securities and Market Discount Transaction Reporting Municipal short closeouts/ possession and co... More Info
$501Prof Practice -
Modernizing Off-Channel Communications Supervision
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 Requirements--Books and Records, Communications with the Public, and Supervision SEC and FINRA Enforcement Actions Observations from Thematic Reviews of Off-Channel Communications OSE-Facilitated Comm... More Info
$501Prof Practice -
Promoting Market Integrity: FINRA’s Role in Market Structure
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 market structure proposals, securities lending, and other transparency initiatives More Info
$501Prof Practice -
Technology Governance: Mitigating Risk Throughout the Vendor Lifecycle
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, performing ongoing due diligence, responding to events, and offboarding. This session will discuss: Vendor Management and Due Diligence Regulatory Notice 21-29 (FINRA Reminds Firms of their... More Info
$501Prof Practice -
The Progression of Regulation Best Interest and Form CRS
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 Reg BI and Form CRS Interpretation, guidance and best practices: Recent SEC and FINRA findings in Reg BI and Form CRS Reg Notice 23-20 Form CRS FAQs Reasonably Available Alter... More Info
$501Prof Practice -
Conflicts of Interest in the Financial Services Industry: What Every Attorney Needs to Know
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 differ; how to recognize potential conflicts of interest that can affect the adviser-client relationship; and most importantly, how new SEC disclosure tools make your due diligence process easie... More Info
$501Prof Practice -
Cybersecurity Risks, Insurance, Employee Conduct, AI: What Does it All Mean to Lawyering in a Cyberworld?
For the 9th year, Program Chair Mark Rosen and an expert faculty seek to inform the legal and business communities about the latest developments in the field of cybersecurity and lawyering in a cyber world that are too important to ignore. Our all-star faculty will address the key issues, threats, and the ever changing roles and responsibilities of attorneys and firms in a constantly evolving cyberworld. Topic to be discussed include: Is AI a marketing phrase or a tool? Cyber... More Info
$2607Total Credits2 LPM, 3 PP, 1 Ethics, 1 Cyber -
Nontraditional Careers in the Law
Our panelists will discuss their path from law school to a career related to, but outside, of the traditional practice o the law. We will talk through their transition and what transferable skills helped them in their new careers. We will also discuss steps any attorney can take to pursue a nontraditional career using their law degree, knowledge obtained along the way and their legal experience. There will also be ample time for questions and answers from the audience. More Info
$250.5Law Prac Mgmt