Connecticut MCLE - All Courses
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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 -
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 -
Compliance & Legal Trends
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 securities industry—and what these developments mean for legal and compliance teams. Join industry leaders as they explore how firms are adapting to significant business, regulatory, and technolo... More Info
$501General Credit -
Complex Products: New Developments and Compliance Considerations for Retail Firms
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 professionals in broker-dealers, investment firms, and regulatory roles—offers a comprehensive look at the evolving supervisory landscape, with a focused examination of Registered Index-Linked Ann... More Info
$501General Credit -
Capital Formation Developments
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 developments impacting capital raising activities and firm responsibilities. Attorneys will examine new and emerging opportunities to support the capital-raising process, including how firms are adapt... More Info
$501General Credit -
A Primer on Civil Trial Preparation
Preparing for trial involves managing a variety of topics. For a solo or small firm practitioner, you may have little or no help getting ready for trial, so managing your time, your client’s expectations, the challenges of discovery, witnesses, motion practice, and the trial itself can be overwhelming. This CLE course will provide some practical tips and insights on how to manage your trial preparation. More Info
$501General Credit -
Critical Updates: How DUIs & Serious Traffic Offenses Impact Your Client’s Illinois Driver’s License
This CLE course will guide you through the maze of issues and problems that result from your client’s DUIs and/or other serious driving offenses and the effect it has on your client’s Illinois Driver’s License (DL). Illinois is one of the more difficult states when it comes to these issues. It is not only difficult to figure out what exactly will happen with your client’s Illinois DL after a DUI or serious traffic offense but what to do to help them regain their driving privileges.... More Info
$501General Credit -
Pooled Special Needs Trusts: An Important Tool to Protect Clients & Preserve Public Benefits
If your client has a disability, or has a loved one with a disability, this impacts representation in a variety of areas, including estate planning, family law, and personal injury law. The complexity of planning for the future and navigating public benefits creates unique challenges. Attorneys must act carefully to safeguard the person’s eligibility for public benefits and to supplement those benefits to improve their quality of life. A pooled special needs trust (PSNT) is a... More Info
$501General Credit -
AI, Cybersecurity and Privacy: What Attorneys Need to Know About Emerging ISO Standards
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 standards that aim to establish robust frameworks for securing AI systems and managing associated privacy risks. ISO/IEC 27090 focuses on AI system security, including threat surfaces, model robustne... More Info
$501General Credit -
Transfer on Death Deeds Law Under NY Real Property Law, Chapter 50, Article 12 & Section 424
On April 20, 2024, as part of the New York State Budget, New York State adopted legislation: the Heirs Property and Deed Theft Prevention Act of 2024. Among the many aspects of law was the creation of the Transfer on Death Deed (TODD) as defined in New York Real Property Law (RPL) Section 424. New York State has joined other states in recognizing the use of TODD, which in NY is limited to the distribution of real property upon death. This program will help you understand t... More Info
$501General Credit