Montana CLE - Securities Law Courses
This is a listing of Securities Law CLE Courses for Montana. Please make your selection below of Montana 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.
CLE Courses Available on DVDs, Audio CDs, USB Stick, Online & iOS/Android App and Live Webinars!
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On-DemandCD/DVD/USB, Online, iOS/Android App
Artificial Intelligence: Opportunities and Use by Member Firms
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 real-world AI use cases (e.g., summarization, drafting, classification) and the legal, regulatory, and ethical considerations tied to these technologies. Lawyers will gain practical insights into A... More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
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 -
On-DemandCD/DVD/USB, Online, iOS/Android App
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 -
On-DemandCD/DVD/USB, Online, iOS/Android App
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 -
On-DemandCD/DVD/USB, Online, iOS/Android App
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 superv... More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
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 fac... More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
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 risk, ne... More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
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 -
On-DemandCD/DVD/USB, Online, iOS/Android App
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 -
On-DemandCD/DVD/USB, Online, iOS/Android App
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