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

  Keeping Current With Fixed Income Securities

  General Credits: 0.8

  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

  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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• $34

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

  Ethics Credits: 1

  This CLE course delves into the current cybersecurity risk landscape, focusing on the ABA Model Rules regarding competency. It addresses the impact of technology on the security and privacy of client communications, information management, billing processes, and the oversight of law firm staff. The...

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• $29

  Communication Supervision Trends and Effective Practices

  General Credits: 0.8

  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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• $55

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

  General 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

  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

  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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• $29

  Filing Requirements and Due Diligence Obligations for Public Offerings and Private Placements

  General Credits: 0.8

  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 tool...

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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

  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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