Accreditation and CLE Rules for New York

The National Academy of Continuing Legal Education is an Accredited NYS CLE Provider. The NY CLE Board maintains an Accredited Provider directory on their website. You can find us listed on the most recent directory at http://www.nycourts.gov/attorneys/cle/aplist.pdf.

Experienced NY are required to take 24 credit hours every 2 years including 4 credit hours of Ethics and 1 credit hour of Diversity, Inclusion and Elimination of Bias and 1 credit of Cybersecurity, Privacy and Data Protection.

NY attorneys can earn all 24 CLE credit hours with us using our DVDs, Audio CDs, USB Stick, Online, and iOS/Android App courses.

*Beginning on July 1, 2023, experienced attorneys are now required to take at least 1 CLE credit in the category of Cybersecurity, Privacy and Data Protection in each compliance period. This new requirement applies to all attorneys due to re-register on or after July 1, 2023 (birthday is on or after July 1st). Please note that this does not change the total amount of credits required in your CLE period, the total requirement remains at 24 credits.

Experienced NY attorneys are required to complete their requirement every 2 years by their birthday with a 30 day automatic grace period. Attorneys admitted to practice in even years are due on even years and attorneys admitted in odd years are due in odd years.

New York attorneys must report that they are CLE compliant on their biennial registration form and must retain proof of compliance for a minimum of four years. National Academy of CLE issues a NY CLE Certificate of Attendance for all CLE activities as proof of compliance and we store the certificate in your CLE Account indefinitely.

Newly admitted attorneys are required to take "transitional” courses (designed to help them develop a foundation in the essential skills to practice law) 16 credits each year for the first two years following their admission to the Bar. The 16 credits must consist of 3 Ethics credits, 6 Skills credits, and 7 Law Practice Management (LPM) or Professional Practice (PP) credits. Newly admitted attorneys must complete their CLE requirement in a format permissible for the category of credit. For more information please click here.

Newly admitted attorneys must complete each of their two 16 credit requirements by the first and second anniversaries of admission respectively.

*COVID-19 Update: In response to concerns related to the spread of the COVID-19 Coronavirus the NYS CLE Board has temporarily suspended the live in-person requirement for Newly Admitted attorneys. You now have until 6/30/2025 to earn both your Skills and Ethics credits through our livestream webinars. You can see the official notice about the temporary live requirement exception here.

Newly admitted attorneys can satisfy all 16 credit hours with us using our on-demand PP & LPM courses and our Live Webinar Skills and Ethics courses. You can see our Bridge The Gap options here: NY BTG CLE.

Effective July 1, 2023, Newly admitted attorneys must complete at least 1 CLE credit hour in the Cybersecurity, Privacy and Data Protection CLE category of credit as part of their newly admitted cycle requirement (1 credit of Cyber in any of your first 2 years). The new requirement is for attorneys admitted to the NY Bar on or after July 1, 2023.

New York State CLE Board
25 Beaver Street, 11th Floor
New York, NY 10004
(t) 212-428-2105
(f) 212-428-2188
http://www.nycourts.gov/attorneys/cle/index.shtml

Modernizing Off-Channel Communications Supervision

SKU: SEC073 Back to Course Listings

About This Course

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 Communications Roundtables
Best practices

*This course qualifies as a Transitional course and can be taken by both Experienced and Newly Admitted attorneys in NY.

Lecturers for this Course

Stephen Bard Stephanie Gregory, Esq. Anthony T. Maher, Esq. Joseph J. Sheirer, Esq.

Lecturer Bios

Stephen Bard

Stephen R. Bard is Senior Vice President, and Wells Fargo's Wealth and Investment Management’s Director of Social Media and Communications Compliance. He leads the oversight of the Firm’s communication policies and procedures for their traditional, bank brokerage, and independent Broker Dealer/Investment Adviser dual registrants. With more than 25 year’s industry experience, he is responsible for managing the development and implementation of a risk-based compliance program to meet federal, state, agency, legal and regulatory requirements.

His team annually reviews 75,000 pieces of communications including Digital Marketing submissions from social media, mobile and e-communications. He is currently a participant on FINRA’s Public Communications Committee; and was a member of their Social Media taskforce, and participated in their BrokerCheck hyperlink working group. In addition to communication related issues, he provides guidance on tools, software, Privacy and Books and Records requirements.

Stephanie Gregory, Esq.

Stephanie Gregory is Principal Analyst in FINRA's Advertising Regulation Department. Prior to joining FINRA in 2004, Ms. Gregory worked in compliance and advertising review with a member firm. Ms. Gregory received a bachelor’s degree in economics and political science from Boston University, and her law degree from Pennsylvania State University Dickinson School of Law.

Anthony T. Maher, Esq.

Anthony T. Maher is a manager in FINRA’s Advertising Regulation Department. He served in the same role at NASD before its 2007 consolidation with NYSE Member Regulation, which resulted in the formation of FINRA. His chief responsibility is managing staff members dedicated to the routine review of member advertisements.

Mr. Maher also speaks at FINRA conferences and events, especially the Department’s Advertising Regulation Conference, where he conducts a highly interactive educational “hands-on” advertising review workshop. Prior to joining FINRA in 1995, he was a registered principal and a compliance analyst for a broker-dealer subsidiary of a life insurance company. Mr. Maher holds a J.D. from George Mason University Antonin Scalia Law School, a master’s degree from Georgetown University and a bachelor’s degree from George Mason University.

Joseph J. Sheirer, Esq.

Joseph J. Sheirer is the Director of FINRA’s New Jersey District Office. Mr. Sheirer oversees the Surveillance, Cycle Examination, and Cause Investigation Programs for member firms and associated persons located in New Jersey and New York (outside of the five boroughs of New York City and Long Island).

Mr. Sheirer previously developed and oversaw FINRA’s national Membership Application Program group and worked in varying capacities in a number of other FINRA departments including Risk Oversight and Operational Regulation, Continuing Education, Testing, and Qualifications and Registration.

Mr. Sheirer is a graduate of Brooklyn Law School and Drew University and is a member of the Bars of the States of New York and New Jersey.

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Accreditation and CLE Rules for New York

Modernizing Off-Channel Communications Supervision

About This Course

This session will discuss:

Lecturers for this Course

Spend less and get more

Dedicated CLE Manager

Riveting Content & an Exceptional Library

Free Customized CLE Tracker

Online, Audio CD, DVD, iOS/Android App, USB Stick

Want Different Options?

Subscribe for Course Updates and News

Subscribe for Course Updates and News

Please provide us with your licensed state(s) so we can send you content relevant to you.

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