Securities Law Bundle Includes:

• $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

  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

  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

  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

  From Ethics to Enterprise: What AI and ABS Mean for the Modern Lawyer

  Ethics Credits: 1

  As technology and capital reshape the legal profession, attorneys face complex ethical questions that demand thoughtful navigation. This CLE program will examine the ethical challenges—and opportunities—presented by two key forces driving change in the practice of law: artificial intelligence and n...

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• $75

  Ethical Conflict of Interest Issues

  Ethics Credits: 1.5

  This practical CLE program explores common ethical pitfalls attorneys encounter in everyday practice and offers clear, actionable guidance for avoiding them. Participants will examine issues such as forming unintended attorney-client relationships, drafting effective engagement letters, managing co...

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• $50

  Internet and Sports Gambling: A “Secret” Addiction No More

  Prevention Competence Credits: 1

  The statistics are compelling and clearly indicate that 1 out of 3 attorneys will likely have a need for substance use or mental health services at some point in their careers. What about that “other” addiction – Gambling? In 2018, the United States Supreme Court, in Murphy Vs. NCAA, held that sp...

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• $75

  Artificial Intelligence as Evidence: Discoverability, Use, Admissibility of Algorithmic & Digital Evidence

  Technology Credits: 1.5

  Recent interest in AI has been focused on how it can be used to improve productivity in your practice. This CLE looks at AI from a different perspective – as evidence that may be crucial to your trial. It will cover the legal definitions of artificial intelligence and what types of evidence fal...

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• $50

  Implicit Bias and DEI Today: Challenges & Opportunities

  Implicit Bias Credits: 1

  All human beings including lawyers have implicit biases. Indeed, such biases result from natural biochemical processes and reactions in the human brain. Knowing the science of implicit bias enhances our understanding of reactive human behavior while also providing key indicators to avoid significan...

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• $50

  AI, Cybersecurity and Privacy: What Attorneys Need to Know About Emerging ISO Standards

  Technology Credits: 1

  Artificial intelligence (AI) is increasingly embedded in enterprise and public-sector systems. The legal community must understand the emerging standards that govern AI cybersecurity and privacy. This CLE session introduces attorneys to ISO/IEC 27090 and ISO/IEC 27091—two draft international sta...

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• $50

  Professionalism and Civility for Attorneys: Mastering First Impressions and Effective Communication

  Civility Credits: 1

  In today's interconnected world, how you present yourself professionally can make or break your career. This CLE course offers practical strategies for crafting a strong, lasting professional brand. From the courtroom to Zoom meetings, and across all forms of social media, your verbal and non-verba...

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• $50

  Artificial Intelligence: Opportunities and Use by Member Firms

  General Credits: 1

  This CLE course offers a focused overview of how artificial intelligence — especially Generative AI and Large Language Models — is being adopted across the financial services industry, with clear implications for legal professionals. Based on recent data from FINRA and industry leaders, it explores...

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• $50

  Where Are We Now: DEI in Today’s Legal Landscape

  Elimination Bias Credits: 1

  The legal profession stands at a critical juncture as it grapples with the rapidly changing dynamics of Diversity, Equity, and Inclusion (DEI). This CLE course offers a comprehensive examination of how DEI initiatives are being reevaluated and reshaped in light of the U.S. Supreme Court’s recent de...

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• $50

  A Lawyer's Guide To Mental Fitness

  Wellness Competence Credits: 1

  This CLE course provides attorneys with a targeted framework to address mental health challenges unique to the legal profession, fostering resilience and emotional well-being in high-pressure environments. Designed specifically for lawyers, this practical session focuses on building mental health s...

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• $75

  Selective Ethics in Litigation from the Plaintiff's Perspective

  Ethics Credits: 1.5

  This CLE course will focus on the ethical obligations that govern counsel in litigated matters and the boundaries that must be respected to ensure compliance with professional standards. Panelists will explore the ethical rules that shape an attorney’s responsibilities when representing a client an...

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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

  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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• $35

  Keeping Current With Fixed Income Securities

  General Credits: 0.75

  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...

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• $35

  Communication Supervision Trends and Effective Practices

  General Credits: 0.75

  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 chal...

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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

  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

  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

  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

  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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