Securities Law Bundle Includes:

• $100

  Representing the Startup Enterprise Through the “Four Stages” of Capital Formation

  General Credits: 2

  Raising capital is a defining challenge for emerging businesses, and each stage of the process brings unique legal and regulatory considerations. This CLE program guides attorneys through the progression of startup financing, from early founder contributions to public offerings, with a focus on how...

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• $50

  Capital Formation Developments

  General Credits: 1

  Capital formation remains a vital engine for economic growth—but in today’s rapidly evolving financial environment, legal professionals must navigate a shifting landscape of regulation, innovation, and market dynamics. This CLE course offers attorneys a comprehensive overview of the latest developm...

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• $50

  How to Use Data to Drive Effective Oversight

  General Credits: 1

  As data analytics become central to regulatory compliance, legal professionals must understand how firms use data to guide surveillance and oversight. This CLE session offers attorneys a practical look at how firms—large and small—are adopting risk-based, outcome-driven approaches to compliance thr...

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• $50

  Compliance & Legal Trends

  General Credits: 1

  In a financial and regulatory environment marked by rapid transformation, legal professionals play a critical role in guiding firms through evolving compliance expectations. This CLE course offers attorneys a forward-looking discussion on the emerging trends and strategic priorities shaping the sec...

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• $50

  AI and the Attorney-Client Privilege: Protecting Confidentiality in the Age of Large Language Models

  Ethics Credits: 1

  This CLE course delves into the complex and evolving intersection of Artificial intelligence (AI) and the foundational legal principle of attorney-client privilege. As AI tools become increasingly integrated into legal practice, from legal research and document review to predictive analytics and cl...

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• $50

  Effective Practices in Remote Supervision and Inspections

  General Credits: 1

  This CLE course explores the legal and regulatory challenges emerging from the shift toward hybrid and remote work in the financial services industry. With updates to FINRA’s supervision rules enabling Remote Supervisory Locations (RSLs) and the Remote Inspection Pilot Program (RIPP), attorneys adv...

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• $50

  Ethical Use of Social Media in One's Legal Practice

  Ethics Credits: 1

  This CLE course will explore some of the major traps that Lawyers and Law Firms face when using the various social media platforms that permeate the world as we know it. The course will in addition to identifying those traps outline best practices one can utilized to avoid the traps before they are...

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• $50

  Financial Management Regulatory Developments

  General Credits: 1

  This CLE course provides legal professionals with a timely and in-depth review of the evolving regulatory landscape governing financial responsibility in the securities industry. Anchored in the key findings of the 2025 Regulatory Oversight Report, the session is designed to help attorneys understa...

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• $50

  Recent Trends in Lawyer Discipline and Ethical Takeaways

  Ethics Credits: 1

  It seems to be harder and harder to define something that use to seem so obvious – Attorney Misconduct. This CLE presentation will attempt to shine a clear focus on growing concerns about behavior within the profession. These are concerns shared not only by the profession and but also by the genera...

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• $50

  Staying Ethical Under Fire: Navigating Immigration Practice Today

  Ethics Credits: 1

  Immigrants need zealous representation now more than ever. But even in high-pressure environments, ethical boundaries remain. This CLE course explores the limits of zealous advocacy and offers practical guidance for avoiding common ethical pitfalls in today's immigration practice. In this course,...

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• $50

  Financial Crimes: Getting Ahead of the Adversaries

  General Credits: 1

  As financial crimes evolve, staying ahead of emerging threats is essential. This CLE course explores recent fraud and money laundering trends impacting firms and markets, with a focus on actionable prevention and detection strategies. Key topics include: Highlights from the Annual Report’s Fina...

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• $50

  Mitigating Impacts of Fraud and Scams Targeting Customers

  General Credits: 1

  As fraud schemes become more complex, legal professionals play a vital role in protecting investors and guiding firms through each stage of a fraud event. This CLE session offers a practical look at the full lifecycle of a fraud scheme—from investor targeting to post-incident recovery—and outlines...

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• $50

  Complex Products: New Developments and Compliance Considerations for Retail Firms

  General Credits: 1

  As complex investment products become increasingly prevalent in the retail market, attorneys and compliance professionals face heightened challenges in navigating legal risk, regulatory scrutiny, and investor protection obligations. This 60-minute CLE session—designed for legal and compliance p...

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• $50

  Legal Risk and Regulatory Strategy: A Conversation with FINRA Senior Leaders

  General Credits: 1

  This CLE course, tailored for legal and compliance professionals in the financial industry, addresses key FINRA regulatory topics based on audience questions. It provides actionable insights to navigate the evolving regulatory landscape. What You Will Learn FINRA Forward Initiatives: Understand...

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