Maryland CLE - Securities Law Courses
This is a listing of Securities Law CLE Courses for Maryland. Please make your selection below of Maryland 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.
Maryland CLE
Accreditation Info
CLE is voluntary for Maryland attorneys. To view our full accreditation details please .
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Compliance and Legal Trends in The Financial Industry
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 transforming these critical functions. Participants will gain a comprehensive understanding of: Emerging trends and challenges in legal and compliance roles. Strategic focus areas to enhance legal and... More Info
$291General Credit -
The State Of The Art of Investment Advisor Regulations
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 address current trends and best practices in artificial intelligence, the Marketing Rule, and other recent regulatory developments. Additionally, we will discuss broader judicial decision... More Info
$291General Credit -
Filing Requirements and Due Diligence Obligations for Public Offerings and Private Placements
In this session, FINRA experts and seasoned industry professionals provide a thorough overview of the regulatory requirements and best practices for handling both registered and unregistered securities offerings. Focused on providing actionable insights, this course will equip lawyers with the tools necessary to navigate complex compliance challenges and minimize risks in securities transactions. What You Will Learn: Understanding Filing Obligations: Key differences between registere... More Info
$290.75General Credit -
Communication Supervision Trends and Effective Practices
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, and other off-channel communication methods. Drawing on recent examination results, our expert panel will discuss the evolving supervisory landscape and offer actionable strategies for legal profess... More Info
$290.75General Credit -
Mitigating Impacts of Fraud and Scams Targeting Customers
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, and after it occurs. Participants will follow the progression of a modern fraud scheme, analyzing how investors are approached and deceived, and exploring the critical legal touchpoints that... More Info
$291General Credit -
Legal Risk and Regulatory Strategy: A Conversation with FINRA Senior Leaders
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, compliance resources, and cybersecurity/fraud strategies. Capital Formation: Rules balancing innovation and investor protection. CAT and PCAOB: Transaction tracking and audit compliance for small firm... More Info
$291General Credit -
Keeping Current With Fixed Income Securities
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 obligations. The session will unpack current trends, highlight regulatory priorities, and offer insights into effective firm practices. Discussion will span a range of legal issues, including the latest... More Info
$290.75General Credit -
How to Use Data to Drive Effective Oversight
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 firm oversight and regulatory responses. This CLE course begins with a look at how firms—regardless of size or resource levels—are integrating analytics into their compliance and surveillance... More Info
$291General Credit -
Financial Management Regulatory Developments
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 protections, with practical guidance on compliance and enforcement risks. Attendees will explore recent and proposed SEC rule changes—including Treasury clearing mandates and updates to Rule 15c... More Info
$291General Credit -
Financial Crimes: Getting Ahead of the Adversaries
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 into current red flags and fraud patterns affecting firms, including the misuse of generative AI, account-based schemes like ACH fraud, and direct-target scams against investors. We’ll also unpack m... More Info
$291General Credit
