California MCLE - All Courses
This is a listing of CLE Courses for California. Please make your selection below of California 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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Effective Practices in Remote Supervision and Inspections
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 advising broker-dealers and compliance teams must understand the evolving expectations and associated legal risks. Participants will hear directly from FINRA staff and member firms about how the... More Info
$501General Credit -
Financial Crimes: Getting Ahead of the Adversaries
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 Financial Crimes Prevention section, including investment fraud targeting retail investors, ACH fraud, AI-enabled schemes, and manipulative trading in small-cap IPOs New and emerging fraud tactics... More Info
$501General Credit -
Financial Management Regulatory Developments
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 understand both the practical and legal implications of recent and emerging developments affecting broker-dealers and financial institutions. Participants will examine core topics such as liquidity ri... More Info
$501General Credit -
How to Use Data to Drive Effective Oversight
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 through data. The course will discuss firm strategies, share FINRA’s latest intelligence resources (including contributions from StratIntel and the FIU), and explore how enhanced surveillance too... More Info
$501General Credit -
Keeping Current With Fixed Income Securities
This CLE session offers attorneys a timely and in-depth overview of current legal and regulatory developments in the fixed income securities markets. Featuring staff from FINRA and the MSRB, the program will explore recent enforcement actions, evolving rule interpretations, and practical compliance guidance relevant to firms operating in this space. Attendees will gain insight into how current regulatory priorities are shaping supervision, reporting obligations, and firm conduct. Topics... More Info
$350.75General Credit -
Legal Risk and Regulatory Strategy: A Conversation with FINRA Senior Leaders
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 Rule Modernization, Empowering Compliance, and Cybersecurity/Fraud initiatives, and their impact on your firm. Capital Formation: Explore regulatory considerations for raising capital while ens... More Info
$501General Credit -
Mitigating Impacts of Fraud and Scams Targeting Customers
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 legal strategies for effective response and prevention. This CLE course will cover how to identify common fraud tactics, engage with victims and outside parties, manage legal risks during a fr... More Info
$501General Credit -
Communication Supervision Trends and Effective Practices
This CLE course offers a comprehensive exploration of critical issues in communications supervision, with a focus on emerging trends in off-channel communications and social media. Join industry experts and regulatory professionals as they provide practical insights into the latest supervisory challenges, share key examination findings, and discuss strategies for enhancing compliance programs. Key Topics Include: Off-Channel Communications: Examination findings and best practices for... More Info
$350.75General Credit -
Filing Requirements and Due Diligence Obligations for Public Offerings and Private Placements
Join FINRA staff and industry experts for an in-depth discussion on the regulatory landscape of registered and unregistered offerings. This CLE course covers essential filing requirements, due diligence practices, and conflict-of-interest management strategies for legal professionals. Key Topics: Filing requirements for both registered and unregistered offerings Due diligence on issuers and investors for unregistered offerings Key considerations for registered offerings, including... More Info
$350.75General Credit -
Trust Protectors: The Good, The Bad and The Ugly
This CLE course will provide a detailed analysis of the use of Trust Protectors nationally, and an overview of states that provide statutory authority for same. In this session, you will learn: Why should you use Trust Protectors? Why should you not use Trust Protectors? What powers are typically conferred on Trust Protectors? The session will also contain a review of case law highlighting some of the problems and pitfalls encountered by persons who have served as Trust Pro... More Info
$501.25General Credits