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

  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

  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

  Promoting Market Integrity: FINRA’s Role in Market Structure

  General Credits: 1

  Hear regulatory and industry perspectives on FINRA’s role in promoting market integrity and on the new and evolving rules such as current market structure proposals, securities lending and how transparency initiatives are shaping the market. This CLE discusses: New and emerging rules SEC marke...

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• $50

  Beyond the Law: Creative Problem-Solving for Attorneys

  General Credits: 1

  In the fast-paced, ever-evolving legal landscape, lawyers must go beyond traditional litigation and advisory roles to become strategic problem solvers. This CLE program will equip attorneys with the tools, techniques, and mindset necessary to tackle complex challenges in a creative and client-centr...

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• $50

  Fixed Income Securities Regulatory Outlook

  General Credits: 1

  This CLE session addresses the latest regulatory focuses related to both fixed income and municipal securities, including Time of Trade disclosures, SEA Rule 15c2-11, and considerations firms should keep in mind with respect to exam priorities, findings, and enforcement actions. This session wil...

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• $100

  Identifying Winning Social Security Cases and Preparing for Hearings

  General Credits: 2

  How do you identify potential Social Security disability clients who have the best chance of winning? And once these clients retain you, how do you increase their odds of winning at an ALJ hearing? Social Security disability claims can take two to three years from application to hearing so yo...

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• $75

  The Power of Pixels: Enhancing Summations Through Technology

  General Credits: 1.5

  We live in a digital age, so why is your summation stuck in the past? With the rise of digital evidence, technologically equipped courtrooms, and a more savvy jury pool, digital presentations for summation will give you an edge over your competition. This CLE lecture will walk you through build...

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• $75

  Direct Examination of Expert Witnesses at Trial

  General Credits: 1.5

  As the Supreme Court has noted, “expert evidence can be both powerful and quite misleading because of the difficulty in evaluating it.” Daubert v. Merrell Dow Pharms., Inc., 509 U.S. 579, 595 (1993). “Indeed, no other kind of witness is free to opine about a complicated matter without any firsthand...

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• $50

  A Lawyer's Guide To Mental Fitness

  General 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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• $50

  Privacy Under Fire: Navigating Enforcement Actions & Litigation Risks

  General Credits: 1

  As regulatory scrutiny and consumer privacy litigation continue to intensify, attorneys must navigate a rapidly shifting legal environment. This CLE course examines the latest enforcement trends, key regulatory developments, and the rising tide of privacy-related lawsuits. Participants will gai...

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• $50

  FINRA's Disciplinary Hearing Process

  General Credits: 1

  Hear from FINRA Enforcement counsel, defense counsel, and a hearing panelist as they broaden awareness about FINRA's disciplinary hearing process and highlight distinctions between self-driven hearings and administrative law judge hearings. This CLE course will discuss: The differences between...

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• $50

  Common Issues with Navigating the Changing Landscape of Multistate Taxation of Crypto Currency & Crypto Based Companies

  General Credits: 1

  State Taxation varies across every state in the United States. Specifically at a State and Local Tax (SALT) level, every jurisdiction has its own tax code and tax treatment for various applications. For example, the way California may classify revenue from a certain company is not the same as Texas...

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• $50

  Conflicts of Interest in the Financial Services Industry: What Every Attorney Needs to Know

  General Credits: 1

  Do you refer clients to financial advisers? Lawyers need to understand the regulatory framework that distinguishes financial advisers, particularly in light of new (2020) disclosure documents (Form CRS). In this program, we will cover how financial advisers are regulated; how standards of care...

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• $50

  Crowdfunding Capital Raises: Considerations for Broker-Dealers & Funding Portals

  General Credits: 1

  This CLE session explores aspects of Regulation CF and considerations for broker-dealers and funding portals within the crowdfunding realm. Join panelists at this session to gain knowledge on emerging regulatory risks and practices broker-dealers and funding portals can implement to stay in complia...

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• $50

  The Progression of Regulation Best Interest and Form CRS

  General Credits: 1

  During this CLE session, panelists discuss recent observations on firm adherence to Regulation Best Interest and Form CRS and share guidance on Reasonably Available Alternatives, the Care Obligation, and Conflicts of Interest. This session will discuss: Actions: ­ Recent SEC and FINRA findings in...

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• $50

  The State Of The Art of Investment Advisor Regulations

  General Credits: 1

  This CLE course explores the latest developments in Investment Adviser Regulation, focusing on practical steps for investment advisers in light of the Fifth Circuit's decision to vacate the SEC's recent Private Investment Adviser regulations. We'll examine why the SEC chose not to appeal the ru...

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• $50

  Financial Crimes: Outpacing the Threats

  General Credits: 1

  This CLE will explore how threat actors are attempting to defraud investors through tactics including market manipulation, new account fraud, cryptocurrency and generative AI. Panelists address the most prominent threats and share effective practices and resources to help firms proactively combat c...

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• $50

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

  Ethics Credits: 1.1

  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

  Compliance and Legal Trends in The Financial Industry

  General Credits: 1

  Join industry leaders for an in-depth discussion on the latest legal trends, critical focus areas, and innovative strategies shaping legal and compliance functions within financial firms. This CLE session will provide valuable insights into how these changes are impacting the sector and share their...

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• $50

  Ethics in the Age of AI: Navigating Professional Responsibilities in Legal Practice

  Ethics Credits: 1

  As artificial intelligence transforms the legal profession, lawyers face a critical challenge: how to harness AI's powerful capabilities while navigating complex ethical obligations that can make or break your practice. This essential CLE course provides practical guidance for attorneys seeking to...

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• $50

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

  General Credits: 1.1

  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

  Filing a Case Under the United States False Claims Act

  General Credits: 1

  This CLE course delves into the intricacies of whistleblower rights and remedies under the False Claims Act (FCA), offering a comprehensive guide for attorneys, compliance officers, and professionals in federal contracting. Participants will explore the robust protections afforded to whistleblowers...

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• $50

  How to Build Your Firm into a Sellable Asset

  General Credits: 1

  Running a law firm is much like running any other business — it requires effective management, efficiency, and profitability. While law school teaches us the ins and outs of legal practice, it doesn't prepare us to lead and grow a business. Yet, these fundamental principles are just as critical to...

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• $50

  So You Want to Open Your Own Practice and Achieve Your Dreams: Let’s Talk About it First

  General Credits: 1

  Opening your own law practice can feel like the ultimate expression of freedom and control—but without the right mindset, systems, and financial strategy, it can quickly turn into a stressful grind. This CLE program provides a candid, practical roadmap for lawyers thinking about going solo or sca...

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• $50

  How Innovators Can Operationalize the GENIUS Act

  General Credits: 1

  The enactment of the GENIUS Act was a watershed moment for the digital assets sector as stablecoins became the first digital asset to have a comprehensive federal regulatory framework. Over the next 18 months, we will see a veritable alphabet soup of federal regulators implement the GENIUS Act thro...

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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

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

  Ethics 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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• $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

  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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• $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

  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

  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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• $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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