Securities Law Bundle Includes:

• $29

  Compliance & Legal Trends

  General Credits: 1

  As the financial services industry undergoes rapid evolution, attorneys must stay attuned to the shifting forces that impact compliance frameworks. This session offers a strategic legal lens on how firms are responding to a convergence of regulatory change, market demands, and technological disrupt...

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• $29

  How to Use Data to Drive Effective Oversight

  General Credits: 1

  Today’s compliance environment is increasingly data-driven, placing new demands on legal professionals advising financial firms. This CLE course focuses on the legal and governance implications of data use in compliance, offering attorneys a deeper understanding of how data analytics are reshaping...

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• $29

  Complex Products: New Developments and Compliance Considerations for Retail Firms

  General Credits: 1

  The expansion of complex financial products in the retail space—especially Registered Index-Linked Annuities (RILAs)—has introduced new layers of legal exposure and regulatory scrutiny. This CLE program gives attorneys a clear view into the supervisory demands firms face when distributing these pro...

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• $29

  Financial Crimes: Getting Ahead of the Adversaries

  General Credits: 1

  Today’s financial crime landscape is marked by rapid innovation—and increasing risk. This CLE program offers a strategic update for legal and compliance professionals navigating the growing complexity of fraud and money laundering in financial markets. This CLE course begins with a deep dive int...

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• $34

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

  Ethics Credits: 1

  As innovation reshapes the legal profession, ethical boundaries are being tested like never before. This CLE program examines how emerging technologies and evolving business models are challenging traditional rules—and raising urgent questions about professional responsibility. Artificial intell...

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• $65

  Ethical Conflict of Interest Issues

  Ethics Credits: 1.5

  Legal ethics challenges often arise in the routine details of practice—sometimes where attorneys least expect them. This course takes a comprehensive look at everyday scenarios that can lead to professional missteps, offering practical strategies to prevent them. Attendees will learn how to clearly...

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• $34

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

  Prevention Competence Credits: 1

  Gambling Disorder is a hidden but growing threat in the legal community, where statistics reveal that one in three attorneys may require support for mental health or substance use issues during their careers. The 2018 Murphy v. NCAA Supreme Court ruling, which legalized sports betting across the U....

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• $65

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

  Technology Credits: 1.5

  Discussions about artificial intelligence in the legal field often focus on its potential to streamline workflows and boost efficiency. However, AI can also be a critical factor in litigation—not as a tool, but as evidence. This CLE program examines how artificial intelligence fits into the evident...

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• $34

  Implicit Bias and DEI Today: Challenges & Opportunities

  Implicit Bias Credits: 1

  Implicit biases, stemming from natural brain processes, influence everyone, including lawyers. Understanding these biases is crucial to anticipating and preventing legal risks. In this CLE course, Professor Bruce Adelson will draw from his research at Georgetown University School of Medicine and...

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• $34

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

  Technology Credits: 1

  As artificial intelligence (AI) becomes integral to business and public sector operations, attorneys must stay informed about the evolving standards for AI privacy and cybersecurity. This CLE session offers a comprehensive overview of two draft international standards, ISO/IEC 27091 and ISO/IEC 270...

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• $34

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

  Civility Credits: 1

  In today’s highly connected world, your professional image can significantly influence your career trajectory. This CLE course provides actionable strategies to help you build a compelling and enduring professional brand. Whether in the courtroom, during Zoom meetings, or on social media, your comm...

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• $29

  Artificial Intelligence: Opportunities and Use by Member Firms

  General Credits: 1

  The integration of artificial intelligence into financial services is no longer theoretical — it’s underway, expanding rapidly through tools like Generative AI and Large Language Models (LLMs). This course equips attorneys with a working understanding of how these technologies are being applied in...

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• $34

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

  Elimination Bias Credits: 1

  This CLE course delves into the evolving landscape of Diversity, Equity, and Inclusion (DEI) within the legal profession, particularly in response to the U.S. Supreme Court's recent decisions on affirmative action and subsequent political developments. Participants will explore how these landmark r...

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• $34

  A Lawyer's Guide To Mental Fitness

  Wellness Competence Credits: 1

  This CLE course offers lawyers a dynamic, practical approach to tackling the unique mental health challenges of the legal profession, empowering them to thrive in high-stakes environments while safeguarding their well-being. Tailored specifically for attorneys, this engaging session delivers action...

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• $65

  Selective Ethics in Litigation from the Plaintiff's Perspective

  Ethics Credits: 1.5

  Attorneys handling litigated matters must navigate a complex web of ethical rules while vigorously representing their clients. This CLE course will provide a comprehensive examination of the ethical limitations and responsibilities that shape legal advocacy, ensuring that counsel remains within pro...

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• $34

  Ethical Use of Social Media in One's Legal Practice

  Ethics Credits: 1

  In today’s digital age, social media has become an unavoidable part of both personal and professional life—including legal practice. This CLE course delves into the ethical pitfalls that attorneys and law firms may encounter across various social media platforms. Participants will examine the commo...

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• $34

  Recent Trends in Lawyer Discipline and Ethical Takeaways

  Ethics Credits: 1

  In recent years, the legal profession has faced a reckoning: What exactly constitutes misconduct in an era when public trust is waning and the boundaries of professional behavior seem increasingly blurred? This program takes a critical look at the erosion of the once-reliable standards governing at...

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• $29

  Keeping Current With Fixed Income Securities

  General Credits: 0.75

  With regulatory scrutiny intensifying across the fixed income marketplace, this CLE session provides legal professionals with the tools to stay current and compliant. Hear directly from FINRA and MSRB staff as they explore how recent developments are influencing firm operations and legal obligation...

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• $29

  Communication Supervision Trends and Effective Practices

  General Credits: 0.75

  In today’s rapidly changing regulatory environment, effective supervision of communications is more crucial than ever. This session will explore the latest trends and regulatory developments in communications supervision, with a particular focus on emerging platforms like social media, mobile apps,...

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• $29

  Financial Management Regulatory Developments

  General Credits: 1

  This CLE course offers a focused look at the evolving legal and regulatory standards shaping financial responsibility in the securities sector. Using insights from the 2025 Regulatory Oversight Report, the session addresses key issues such as liquidity risk, net capital rules, and customer asset pr...

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• $29

  Effective Practices in Remote Supervision and Inspections

  General Credits: 1

  With the financial services industry embracing long-term hybrid and remote work models, supervision practices are undergoing significant transformation. This CLE program provides legal professionals with an in-depth look at FINRA’s updated rules supporting remote supervision — including the introdu...

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• $29

  Mitigating Impacts of Fraud and Scams Targeting Customers

  General Credits: 1

  In today’s fraud-prone financial environment, attorneys must be prepared to navigate the legal complexities of investor-targeted schemes. This course focuses on equipping legal professionals with the tools and insight needed to support clients through the full arc of a fraud incident—before, during...

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• $29

  Capital Formation Developments

  General Credits: 1

  As capital markets evolve, legal advisors play an increasingly strategic role in helping firms manage the intersection of innovation, regulation, and market opportunity. This session provides attorneys with a legal-focused exploration of current capital formation practices and the regulatory change...

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• $29

  Legal Risk and Regulatory Strategy: A Conversation with FINRA Senior Leaders

  General Credits: 1

  This participant-driven CLE session, tailored for financial legal and compliance professionals, addresses key FINRA regulatory topics through audience questions, offering practical guidance for today’s regulatory challenges. Topics Covered: FINRA Forward Initiatives: Rule modernization, complian...

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