Securities Law Bundle - Ohio CLE

We have selected our most popular lectures and bundled them together into our Securities Law Bundle. This Bundle contains 24 Credit Hours of CLE Lectures - Including 2.75 Credit Hours of "Professional Conduct” topics. *OH has permanently removed the self-study CLE cap for all attorneys moving forward in 2023 and beyond.

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

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24
Credit Hours
of CLE Lectures
Save $705
Only $495
Save $705
Courses priced individually at $1,200
  • Includes 5.5 Attorney Conduct

Securities Law Bundle Includes:

  • $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...

  • $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...

  • $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...

  • $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...

  • $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...

  • $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...

  • $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...

  • $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...

  • $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...

  • $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...

  • $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...

  • $75

    Selective Ethics in Litigation from the Plaintiff's Perspective

    Attorney Conduct 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...

  • $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...

  • $50

    Clarity Above All Things: Writing Briefs That Can Actually Be Understood

    General Credits: 1

    This CLE course focuses on the cornerstone of effective legal writing: clarity. Designed for attorneys who aim to craft briefs that are not only compelling but also easily understood, the course emphasizes practical strategies for clear and concise communication. Participants will learn techniq...

  • $50

    Cybersecurity, Data Protection and AI Ethics: Identifying and Avoiding Common Pitfalls

    Attorney Conduct Credits: 1

    This CLE course explores the current cybersecurity risk landscape in the context of the ABA Model Rules on maintaining competency. It examines how technology affects the security and privacy of client communications, information management, billing, and the supervision of law firm personnel. The co...

  • $75

    The ABCs of MSOs: How and Why to Form a Compliant Lasting and Profitable Management Services Organization

    General Credits: 1.5

    This CLE presentation on Management Services Organizations (MSOs) provides an in-depth exploration of their critical role in healthcare. Participants will learn about the definition, purpose, and significance of MSOs, focusing on their structure and function. The course covers essential legal c...

  • $75

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

    General 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...

  • $50

    Pause, Breathe, Lead: Mindfulness for the Modern Lawyer

    Attorney Conduct Credits: 1

    During this CLE, attorneys will learn what mindfulness is and what are known as the “attitudinal foundations” of mindfulness. We will explore evidence-based research which demonstrates the ways in which mindfulness can help attorneys reduce stress, and anxiety and connect more fully with the presen...

  • $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...

  • $50

    Recognizing and Handling Conflicts of Interest

    Attorney Conduct Credits: 1

    This CLE course will provide critical information and guidance regarding conflicts of interest, including screening for conflicts and addressing different types of conflicts, including simultaneous representation of clients, representing multiple clients, engaging in business transactions with cli...

  • $50

    Ethical Mediation: Principles and Practices in Dispute Resolution

    Attorney Conduct Credits: 1

    The use of Alternative Dispute Resolution, particularly in the area of mediation, has grown dramatically in the past ten years. However, it is a process in which many counsel are unfamiliar. Judge Scheinkman will discuss the importance of ethical considerations that relate to settlement negotiation...

  • $50

    Crypto Assets: Trends, Regulatory Developments and Resources

    General Credits: 1

    Join this session to learn about the latest cryptocurrency regulatory developments including the crypto-assets retail communications sweep and rule proposal, current trends in crypto misconduct, and resources and guidance firms can leverage. This session will discuss: • Regulatory Developments:...

24
Credit Hours
of CLE Lectures

CLE Your Way, Anywhere!
DVDs, Audio CDs, USB Stick, Online & iOS/Android App included at no extra charge!

Course Media Options
Only $495
Save $705
Courses priced individually at $1,200

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