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.

MCLE Courses Available on DVDs, Audio CDs, USB Stick, Online & iOS/Android App!

Course Media Options

Instantly Print Your MCLE Certificates

All Courses
  • Redefining Communications Compliance for the Digital Age

    As we rely increasingly on mobile apps, social media, and other digital channels to communicate, how are firms addressing the compliance challenges and opportunities these media offer? Learn with industry and FINRA experts about how to navigate the increasingly complex landscape of firm communications with the public. Panelists cover lessons learned from FINRA’s ”finfluencer” targeted examinations, recent enforcement activity around off-channel communications, and how practitioners are approac... More Info

    $50
    1General Credit
  • RegTech in Advertising and Compliance and Beyond

    RegTech (Regulatory Technology) is more than a buzzword, it is a real movement that is already having an impact on regulatory compliance. This CLE lecture will give you insight on innovative technologies being used to develop more effective, efficient, and risk-based compliance programs in the area of communications with the public. This CLE lecture will discuss how RegTech tools are helping address new challenges and regulatory implications associated with supervision, vendor management, da... More Info

    $50
    1General Credit
  • Regulation Best Interest and Form CRS: Recent Observations and What to Expect

    Attend this program to hear how firms are complying with Regulation Best Interest (Reg BI) and Form CRS (client relationship summary) rules. Join FINRA staff and industry panelists as discuss issues and observations about how firms are complying with the rules. Panelists share what they are seeing during compliance examinations, effective practices, and resources available to help firms comply with future initiatives. After attending this session, you will be able to: Discuss... More Info

    $50
    1General Credit
  • Religion and Estate Planning

    Planning a client’s estate involves more than just the transfer of wealth. To draft a customized plan that achieves a client’s unique goals requires an understanding the client’s values and convictions, and in many cases, his or her religious beliefs. A recent Gallup Poll on the role of religion in the United States, 37% of respondents self-identified as “Highly Religious.” That same year Americans donated upwards of $127B to support religious organizations and causes. Yet despite the central... More Info

    $50
    1General Credit
  • Remote Legal Work in the Post-Pandemic Age

    The Pandemic has finally taught lawyers, even the most technologically averse, that they can work from just about anywhere. But have the law and professional responsibility rules kept pace? In this program, we will explore the disconnect between the reality of remote practice and the applicable legal and ethical rules. We will use hypotheticals to discuss the key issues, such as virtual law offices, working remotely across state lines, in-state law office requirements, and more.... More Info

    $50
    1Ethics Credit
  • Remote Supervision

    Join FINRA staff and industry panelists as they discuss what they have learned from working remotely. During the session, panelists discuss effective controls, procedures, and processes that member firms are incorporating to address supervision in a remote work environment. After attending this session, you will be able to: Identify controls, procedures, and processes that member firms are incorporating to address supervision in a remote work environment Review lessons learned and... More Info

    $50
    1General Credit
  • Remote Supervision: Compliance Challenges in a Remote Working World

    The COVID-19 pandemic significantly affected firms’ day-to-day operations across the securities industry, including requiring firms to transition most or all staff to remote work environments and implement remote supervisory practices. Join FINRA staff and industry panelists as they discuss challenges firms face with staff working from home during the COVID-19 pandemic. Panelists also share what they have learned from these events and how they have improved their Business Continuity P... More Info

    $50
    1General Credit
  • Representing a Deponent and Deposing a Representative

    This CLE is designed to introduce the concepts behind a representative appearing at a deposition. this course will examine doing so under 30 of the Federal Rules of Civil Procedure, but will discuss the practical implications of doing so; the ways in which such a deposition could be conducted; and, in what actual capacity such a person testifies. This course will also discuss the privileges that can be asserted in such a deposition, and how they differ slightly from those that can be... More Info

    $50
    1General Credit
  • Representing a Franchisee Against his Franchisor: Obtaining Information for Litigation

    The purpose of this lecture is to advise an attorney who is representing a franchisee in litigation against his franchisor. The most important initial aspect of the case is to gather the information that will be used to successfully prosecute the franchisee’s case. It is also very important to obtain the information that the franchisor will attempt to use against the franchisee for the inevitable counterclaim. This CLE lecture will address the steps the franchisee’s attorney should employ t... More Info

    $50
    1General Credit
  • Representing Multi-State Employers: How to Draft Legally Compliant Employee Handbooks

    Understanding what an employee handbook must have in it is tough enough. However, if you represent a multi-state employer doing business in more than one state, it is even more complicated. There are a multitude of laws that vary state by state that an organization needs to ensure compliance with. Failure to do so can put an organization at legal peril. One of the causes for concern when drafting a multi-state handbook is that employers must comply with both federal and state laws c... More Info

    $50
    1General Credit

Want Different Options?

For a custom suite of courses, our custom CLE option satisfies your CLE cycle requirements in one easy step.

Customize OptionsRight ArrowCustomize Options