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

  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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• $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

  Promoting Market Integrity: FINRA’s Role in Market Structure

  General Credits: 1

  Gain insights from regulatory and industry experts on FINRA’s efforts to uphold market integrity and the impact of new and evolving regulations. This CLE program will cover: New and emerging rules SEC market structure proposals Securities lending practices Transparency initiatives shaping the marke...

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• $29

  Beyond the Law: Creative Problem-Solving for Attorneys

  General Credits: 1

  Success in today’s legal profession requires more than just expertise in statutes and case law—it demands the ability to solve complex problems creatively and strategically. This CLE course is designed to help attorneys move beyond conventional approaches by developing a problem-solving mindset tha...

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• $29

  Fixed Income Securities Regulatory Outlook

  General Credits: 1

  This CLE session will delve into the most recent regulatory developments impacting fixed income and municipal securities. This comprehensive session will cover crucial topics such as Time of Trade disclosures, updates to SEA Rule 15c2-11, and critical insights for firms navigating examination prior...

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• $55

  Identifying Winning Social Security Cases and Preparing for Hearings

  General Credits: 2

  With Social Security disability claims often taking years to reach a hearing, attorneys must be able to identify the most promising cases early in the process. Equally important is ensuring that clients are fully prepared to make the most of their limited time before an administrative law judge....

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• $55

  The Power of Pixels: Enhancing Summations Through Technology

  General Credits: 1.5

  In an era dominated by technology, clinging to traditional summation approaches puts you at a disadvantage. Digital evidence, advanced courtroom tech, and discerning jurors demand a modern edge. This CLE program equips you to create impactful digital presentations for summations, exploring lega...

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• $55

  Direct Examination of Expert Witnesses at Trial

  General Credits: 1.5

  Expert witnesses occupy a unique position in the courtroom—they are permitted to offer opinions based on hearsay, unfamiliar facts, and technical knowledge beyond the grasp of the average juror. But with that leeway comes risk: improperly presented expert testimony can confuse more than clarify, an...

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• $29

  A Lawyer's Guide To Mental Fitness

  General 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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• $29

  Privacy Under Fire: Navigating Enforcement Actions & Litigation Risks

  General Credits: 1

  Privacy law is rapidly evolving, and with it comes a surge in regulatory enforcement and consumer-driven litigation. This CLE program provides attorneys with a current, comprehensive look at how these developments are reshaping compliance obligations and legal risk. Through real-world examples...

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• $29

  FINRA's Disciplinary Hearing Process

  General Credits: 1

  This CLE course features perspectives from FINRA Enforcement counsel, defense counsel, and a hearing panelist. The course aims to enhance your understanding of FINRA's disciplinary hearing process, focusing on the key differences between self-regulated hearings and those conducted by administrative...

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• $29

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

  General Credits: 1

  State Taxation varies across US states. The State and Local Tax (SALT) levels in particular are different for every jurisdiction with their own tax code and tax treatment for different types of applications. For example, the revenue from a particular company is classified in California may vary wid...

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• $29

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

  General Credits: 1

  Referring clients to financial advisers carries some degree of risk. Attorneys need to be knowledgeable about the regulatory framework that distinguishes financial advisers, particularly given the 2020 disclosure documents (Form CRS). This CLE course will explain the regulation of financial ad...

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• $29

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

  General Credits: 1

  Join our expert panel for a deep dive into Regulation Crowdfunding (Regulation CF) and its impact on broker-dealers and funding portals. This CLE session will provide valuable insights into regulatory risks and best practices for maintaining compliance. Key discussion points include: Regulatio...

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• $29

  The Progression of Regulation Best Interest and Form CRS

  General Credits: 1

  This CLE program will explore recent observations on firms' compliance with Regulation Best Interest (Reg BI) and Form CRS. The discussion will provide valuable insights and practical guidance on key topics such as Reasonably Available Alternatives, the Care Obligation, and managing Conflicts of In...

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• $29

  The State Of The Art of Investment Advisor Regulations

  General Credits: 1

  This CLE course provides practical guidance for investment advisers following the Fifth Circuit's decision to vacate the SEC's latest Private Investment Adviser regulations. We will explore the reasons behind the SEC's decision not to appeal and the resulting implications. The course will also...

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• $29

  Financial Crimes: Outpacing the Threats

  General Credits: 1

  In today's rapidly evolving financial landscape, the threat of financial crimes is ever-present and increasingly sophisticated. This CLE course delves into the latest trends and emerging tactics in financial crime, including fraud, money laundering, and cybercrime. Through a combination of theoreti...

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• $34

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

  Ethics Credits: 1.1

  As artificial intelligence becomes a routine part of modern law practice, it brings with it both powerful capabilities and pressing concerns—especially regarding attorney-client privilege. This CLE program examines how emerging AI tools, from document review platforms and legal research assistants...

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• $29

  Compliance and Legal Trends in The Financial Industry

  General Credits: 1

  Join leading experts from member firms as they explore the latest trends and strategic priorities shaping the legal and compliance landscape. In this dynamic CLE session, our panelists will share their invaluable insights on how evolving business, regulatory, and technological changes are transform...

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• $34

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

  Ethics Credits: 1

  Artificial intelligence is no longer a distant possibility—it’s already embedded in the way lawyers research, draft, review, and advise. But with these capabilities come legal and ethical minefields that can jeopardize your license, your clients, and your reputation. This program confronts the real...

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• $29

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

  General Credits: 1.1

  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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• $29

  Filing a Case Under the United States False Claims Act

  General Credits: 1

  Unravel the complexities of whistleblower protections and legal recourse in this CLE course focused on the False Claims Act (FCA). Tailored for attorneys and individuals engaged in federal contracting, this session illuminates the safeguards available to those who reveal fraudulent misconduct....

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• $29

  How to Build Your Firm into a Sellable Asset

  General Credits: 1

  Managing a law firm involves more than just legal expertise—it requires effective management, efficiency, and profitability. Law school may prepare you for the practice of law, but it doesn't equip you with the skills to lead and grow a successful business. This course focuses on the essential...

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• $29

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

  General Credits: 1

  Opening a solo practice or expanding a small firm is often marketed as a dream of independence, flexibility, and professional freedom. But behind that glossy image lies a much tougher reality: unpredictable revenue, staffing missteps, and the sheer mental toll of wearing every hat. In this fast-pac...

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• $29

  How Innovators Can Operationalize the GENIUS Act

  General Credits: 1

  The passage of the GENIUS Act marked a turning point in the treatment of digital assets, creating the first federal regulatory structure for stablecoins. In the months ahead, a wide range of federal agencies will take part in shaping this framework through notice-and-comment procedures. At the same...

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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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• $34

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

  Ethics 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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• $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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• $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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• $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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• $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

  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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• $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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