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CLE Madness: 2 Program Compliance Special -- REGISTRATION FOR THIS SPECIAL IS NOW CLOSED

Course begins Tuesday, March 25, 2014, 5:30pm - 9:00pm

Additional Dates
Wednesday, April 23, 2014, 6:30pm - 8:35pm

Registration for this course is now closed.

Intended Audience:

Click Here to download registration form

Location: 2nd Floor Auditorium

Course ID: C032252014

Number of Sessions: 2

Credits: 6.5 NY MCLE Credits: 3 Ethics; 3.5 General
6.5 NY MCLE Credits: 3 Ethics; 3.5 PP

Course Description:

Earn 6.5 NY/NJ MCLE Credits – Including 3 Ethics – for one low price!
This Spring NYCLA’s CLE Institute is offering 2 programs  focusing on different aspects of compliance and enforcement.  Programs included in the special are:
Investor Protection of Dodd Frank Act and Enhanced Professionalism
Tuesday, March 25, 2014, 5:30 PM - 9:00 PM
4 NY Credits 2 Ethics; 2 PP; Transitional and Non-transitional; 4 NJ Credits: 2 Ethics; 2 General
Join our expert faculty as we discuss the key issues regarding investor protection under the Dodd Frank Act.

Panel 1: Disclosure and Market Regulation
Panel 2: The Fiduciary Duty Standard for Broker-Dealers and Investment Advisers
Panel 3: Securities Arbitration
Panel 4: Professional Responsibility and Discipline for Lawyers, Accountants and Compliance Professionals

So You’re Interested in a Career in Compliance and Enforcement: Building Exciting Careers in Emerging Areas of Administrative Law
Wednesday, April 23, 2014, 6:30 PM -- 8:35 PM

2.5 NY Credits: 1 Ethics; 1.5 PP/LPM; Transitional and Non-transitional; 2.5 NJ: 1 Ethics; 1.5 General
Join NYCLA's Young Lawyers Section for a panel discussion on the types of career opportunities available in compliance and enforcement. Learn how attorneys working for regulators and private corporations are building exciting careers by leveraging their knowledge and experience in emerging areas of administrative law. Understand the ethical dilemmas and ethical issues faced by attorneys engaged in compliance work.


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