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    Basics of Broker-Dealer Regulation [CC]

    Basics of Broker-Dealer Regulation [CC]
    CLE 90 min

    Basics of Broker-Dealer Regulation [CC]

    Broker-dealers buy and sell securities on behalf of customers or for their own account, and play a key role in the capital markets. Given the importance of broker-dealers and the potential for harm to investors from their actions, the brokerage industry is heavily regulated. This program will provide an overview of those regulations. Topics covered will include who is required to register as a broker-dealer and what regulations a broker-dealer is subject to once registered, the examination and inspections process, alternative trading systems, broker-dealers and digital assets, and recent rulemaking from the SEC. This program will be useful to those entering or furthering their careers in capital markets and securities.

    Select your state to learn more about the credit details and status of CLE application. Credit is not available for states not listed.

    1.50 total credit hours including

    • General

      Status:

      Approved

      1.50 credit hours

      Available until:

      01/17/2027

    1.50 total credit hours including

    • General

      Status:

      Available for credit

      1.50 credit hours

      Available until:

      01/17/2027

    1.50 total credit hours including

    • General

      Status:

      Available for credit

      1.50 credit hours

      Available until:

      01/17/2029

    1.50 total credit hours including

    • General

      Status:

      Approved

      1.50 credit hours

      Available until:

      01/17/2025

    1.50 total credit hours including

    • Substantive Law

      Status:

      Available for credit

      1.50 credit hours

      Available until:

      01/17/2027

    1.50 total credit hours including

    • General

      Status:

      Approved

      1.50 credit hours

      Available until:

      01/17/2027

    2.00 total credit hours including

    • General

      Status:

      Approved

      2.00 credit hours

      Available until:

      12/31/2026

    1.50 total credit hours including

    • General

      Status:

      Available for credit

      1.50 credit hours

      Available until:

      01/17/2027

    1.50 total credit hours including

    • General

      Status:

      Approved

      1.50 credit hours

      Available until:

      01/17/2025

    2.00 total credit hours including

    • General

      Status:

      Self apply

      2.00 credit hours

      Available until:

      07/17/2025

    1.50 total credit hours including

    • General

      Status:

      Applied for

      1.50 credit hours

      Available until:

      01/17/2027

    1.50 total credit hours including

    • General

      Status:

      Applied for

      1.50 credit hours

      Available until:

      12/31/2024

    1.50 total credit hours including

    • General

      Status:

      Approved

      1.50 credit hours

      Available until:

      01/17/2027

    1.50 total credit hours including

    • General

      Status:

      Approved

      1.50 credit hours

      Available until:

      01/17/2026

    1.50 total credit hours including

    • General

      Status:

      Self apply

      1.50 credit hours

      Available until:

      01/17/2029

    1.50 total credit hours including

    • General

      Status:

      Approved

      1.50 credit hours

      Available until:

      01/17/2026

    1.50 total credit hours including

    • General

      Status:

      Approved

      1.50 credit hours

      Available until:

      12/31/2024

    1.50 total credit hours including

    • General

      Status:

      Self apply

      1.50 credit hours

      Available until:

      01/17/2029

    1.50 total credit hours including

    • General

      Status:

      Self apply

      1.50 credit hours

      Available until:

      06/30/2024

    1.50 total credit hours including

    • General

      Status:

      Self apply

      1.50 credit hours

      Available until:

      01/17/2025

    1.50 total credit hours including

    • General

      Status:

      Applied for upon completion

      1.50 credit hours

      Available until:

      01/17/2026

    1.50 total credit hours including

    • General

      Status:

      Applied for

      1.50 credit hours

      Available until:

      01/17/2026

    1.50 total credit hours including

    • General

      Status:

      Applied for

      1.50 credit hours

      Available until:

      01/17/2027

    1.80 total credit hours including

    • General

      Status:

      Available for credit

      1.80 credit hours

      Available until:

      01/17/2029

    1.50 total credit hours including

    • General

      Status:

      Self apply

      1.50 credit hours

      Available until:

      01/17/2027

    1.50 total credit hours including

    • General

      Status:

      Self apply

      1.50 credit hours

      Available until:

      01/17/2026

    1.50 total credit hours including

    • General

      Status:

      Self apply

      1.50 credit hours

      Available until:

      12/31/2027

    1.50 total credit hours including

    • General

      Status:

      Available for credit

      1.50 credit hours

      Available until:

      01/17/2027

    1.80 total credit hours including

    • General

      Status:

      Reciprocity

      1.80 credit hours

      Available until:

      01/17/2027

    1.50 total credit hours including

    • General

      Status:

      Approved

      1.50 credit hours

      Available until:

      01/17/2029

    1.50 total credit hours including

    • Areas of Professional Practice

      Status:

      Approved

      1.50 credit hours

      Available until:

      01/17/2027

    1.50 total credit hours including

    • General

      Status:

      Applied for

      1.50 credit hours

      Available until:

      12/31/2024

    1.50 total credit hours including

    • General

      Status:

      Approved

      1.50 credit hours

      Available until:

      01/17/2027

    1.50 total credit hours including

    • General

      Status:

      Approved

      1.50 credit hours

      Available until:

      01/17/2027

    1.50 total credit hours including

    • General

      Status:

      Applied for

      1.50 credit hours

      Available until:

      12/31/2024

    2.00 total credit hours including

    • General

      Status:

      Approved

      2.00 credit hours

      Available until:

      01/17/2027

    1.50 total credit hours including

    • Substantive

      Status:

      Available for credit

      1.50 credit hours

      Available until:

      01/17/2027

    1.50 total credit hours including

    • General

      Status:

      Approved

      1.50 credit hours

      Available until:

      01/17/2027

    1.50 total credit hours including

    • General

      Status:

      Approved

      1.50 credit hours

      Available until:

      01/17/2026

    1.50 total credit hours including

    • General

      Status:

      Approved

      1.50 credit hours

      Available until:

      01/17/2026

    1.50 total credit hours including

    • General

      Status:

      Available for credit

      1.50 credit hours

      Available until:

      01/17/2027

    1.50 total credit hours including

    • General

      Status:

      Self apply

      1.50 credit hours

      Available until:

      01/17/2027

    1.50 total credit hours including

    • General

      Status:

      Approved

      1.50 credit hours

      Available until:

      12/31/2024

    1.50 total credit hours including

    • General

      Status:

      Approved

      1.50 credit hours

      Available until:

      01/17/2025

    1.50 total credit hours including

    • General

      Status:

      Approved

      1.50 credit hours

      Available until:

      12/31/2024

    1.50 total credit hours including

    • General

      Status:

      Self apply

      1.50 credit hours

      Available until:

      01/17/2027

    1.50 total credit hours including

    • General

      Status:

      Approved

      1.50 credit hours

      Available until:

      01/17/2027

    1.80 total credit hours including

    • General

      Status:

      Approved

      1.80 credit hours

      Available until:

      01/17/2027

    1.50 total credit hours including

    • General

      Status:

      Applied for

      1.50 credit hours

      Available until:

      10/31/2024

    1.50 total credit hours including

    • Law & Legal Procedure

      Status:

      Approved

      1.50 credit hours

      Available until:

      01/17/2029

    1.80 total credit hours including

    • General

      Status:

      Applied for

      1.80 credit hours

      Available until:

      01/17/2027

    1.50 total credit hours including

    • General

      Status:

      Approved

      1.50 credit hours

      Available until:

      01/17/2025

    1.50 total credit hours including

    • General

      Status:

      Self apply

      1.50 credit hours

      Available until:

      01/17/2027

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    CLE Information: The ABA will seek 1.50 hours of CLE credit in 60-minute states, and 1.80 hours of CLE credit for this program in 50-minute states. Credit hours are estimated and are subject to each state's approval and credit rounding rules. Please visit the ABA MCLE website for general information on CLE.

    Scholarship Information: A limited number of scholarships are available to defray the registration fee upon application. Preference will be given to practitioners with limited means and unemployed attorneys. Please contact Quiana Nesbit for more information at [email protected]

    Product Details

    Co-sponsors

    Federal Regulation of Securities

    Product Code

    CL2401BLB03OLC

    Duration

    90

    Publication Date

    1/18/2024 12:00:00 AM

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