Ohio CLE - Securities Law Courses
This is a listing of Securities Law CLE Courses for Ohio. Please make your selection below of Ohio 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.
Ohio CLE
Accreditation Info
Courses purchased through UnitedCLE.com are provided and fully accredited by The National Academy of Continuing Legal Education, a self-study established sponsor (sponsor number 14232) by the Ohio Commission on Continuing Legal Education. To view our full accreditation details please .
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Law in the Age of Large World Models: Navigating Liability, Autonomy, and Synthetic Reality
Artificial intelligence is evolving beyond content generation into systems capable of modeling real-world environments, predicting outcomes, and supporting decision-making in fields such as engineering, robotics, and autonomous technologies. This CLE program explores the emergence of Large World Models (LWMs) and physical AI, examining how these technologies are reshaping the legal landscape. The course will address key issues involving liability, professional responsibility, intellectu... More Info
$291General Credit -
Drafting Founders’ Agreements for Corporations and LLCs
The agreements signed by a company's founders often have a greater impact on the future of the business than the organizational documents filed at formation. Attorneys advising startups and closely held companies must anticipate not only how the business will operate on day one, but also how it will address changes in ownership, management, financing, and unforeseen disputes as the company evolves. This CLE program explores the drafting and negotiation of founders' agreements for both c... More Info
$552General Credits -
From Legacy Banks to Fintech: Understanding Modern Banking Structures
Financial institutions and fintech companies face a wide range of legal and regulatory considerations when entering or expanding within the U.S. banking market. This CLE program examines the chartering, licensing, and organizational options available to domestic banks, foreign banking organizations, and technology-driven financial services companies seeking to operate through a U.S. banking entity or partner with an existing institution. Attendees will gain an understanding of the regul... More Info
$291General Credit -
Regulation Crowdfunding for In-House Counsel: A Practical Guide to Managing Your First Equity Crowdfunding Raise
This CLE program offers a practical overview of the legal and compliance considerations involved in guiding companies through an initial Regulation Crowdfunding (“Reg CF”) offering under the Securities Act of 1933. Geared toward in-house counsel, startup advisors, and corporate attorneys, the course emphasizes the regulatory, operational, and strategic issues that commonly arise during a Reg CF capital raise. The program reviews the foundational requirements of Regulation Crowdfunding a... More Info
$291General Credit -
Counseling the Startup: Legal Strategy for High-Growth Ventures
Advising startups requires a different approach than representing traditional small businesses. Early-stage companies often operate in rapidly evolving markets, pursue aggressive growth strategies, and depend on outside investment to achieve their objectives. As a result, attorneys serving startup clients are frequently called upon to provide guidance that extends beyond a single practice area and into broader business and strategic considerations. This CLE program explores the unique l... More Info
$552General Credits -
Crypto 201: Fundamentals, Key Developments, and Current Law and Practice
This CLE program expands on core principles to deliver a refreshed survey of the rapidly developing digital asset landscape. Attendees will examine significant legal and regulatory updates, including recent positions from the SEC on cryptocurrency, alongside practical insights into tokenization, stablecoins, smart contracts, digital asset treasuries (DATs), decentralized finance (DeFi), decentralized autonomous organizations (DAOs), and other frequently used industry concepts. In additi... More Info
$551.5General Credits -
Illegal Marketing, Illegal Operations: Is Your MLM Safe? — The Real Threats Come from Within
This CLE program provides attorneys with a focused analysis of the legal and regulatory issues surrounding multi-level marketing (MLM) enterprises. As these models gain traction during periods of economic disruption, they have become frequent subjects of enforcement actions and private litigation, particularly where earnings representations and recruitment-driven compensation structures are at issue. The course examines recent industry trends, including pandemic-era expansion through so... More Info
$551.5General Credits -
Impact of the AML Provisions in the GENIUS Act
The rapid expansion of the stablecoin market is transforming the digital asset ecosystem and drawing heightened regulatory attention. As new issuers enter the market and transaction volumes continue to scale, regulators are increasingly focused on how stablecoin platforms identify, assess, and mitigate financial crime risk. This CLE program examines the emerging regulatory expectations surrounding anti-money laundering compliance for stablecoin issuers and related market participants. P... More Info
$291General Credit -
Navigating FinCEN’s New Rule on Residential Real Estate Transactions
This CLE program offers a focused examination of FinCEN’s newly adopted residential real estate reporting requirements and the practical consequences for attorneys who structure, advise on, or close real estate transactions. The rule marks a substantial broadening of federal anti–money laundering regulation into the residential real estate sector, introducing mandatory reporting for certain all-cash and non-financed transactions involving entities and trusts. Attendees will explore the... More Info
$291General Credit -
Representing the Startup Enterprise Through the “Four Stages” of Capital Formation
Every startup’s growth story is marked by critical moments in securing outside investment, and the legal issues evolve as the company advances. This CLE program walks attorneys through the four stages of capital formation, highlighting what counsel must know to effectively represent an emerging enterprise. The journey begins with founders funding their own venture, then expands to friends-and-family contributions and, in some cases, crowdfunding campaigns targeting customers or online s... More Info
$552General Credits -
How Innovators Can Operationalize the GENIUS Act
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 time, financial institutions, fintech companies, and startups will be actively developing and scaling stablecoin operations within the broader crypto marketplace. This CLE program brings toge... More Info
$291General Credit -
Conflicts of Interest in the Financial Services Industry: What Every Attorney Needs to Know
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 advisers and how standards of care differ. The course will offer strategies for recognizing potential conflicts of interest that may impact the adviser-client relationship as well as how new SEC di... More Info
$291General Credit -
Common Issues with Navigating the Changing Landscape of Multistate Taxation of Crypto Currency & Crypto Based Companies
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 widely from how it is viewed in Texas. The US Supreme Court, citing the Commerce Clause and various other constitutional considerations, places limitations on a state’s power to tax. One of these rela... More Info
$291General Credit -
Safeguarding Your Business & Investment Clients with Proactive Asset Protection & Estate Planning
The goal of Asset Protection & Estate Planning Program for Business & Investment Clients is to address both legacy and family considerations as well as provide complete asset protection while optimizing tax benefits. This CLE course will provide everything you need to know to design a program that is both easy-to-use and flexible enough to apply even as a portfolio grows. The programs must also be able to hold up under any legal scrutiny and be fully integrated so that assets are not le... More Info
$552General Credits -
The Case Against Tipper X
On what he thought was a typical workday in New York City, Tom Hardin woke up, went to the gym and ran a few errands on the way to the office. And on his way, two FBI agents suddenly appeared, publicly flashed their badges and began questioning him about his job. Tom was shocked and confused and began to worry when the agents began sharing details about his personal life and his family, even where he was last weekend. It was that event that began the process of Tom Hardin going from he... More Info
$551.5General Credits -
Navigating the SEC and CFTC Whistleblowing Programs
Whistleblower programs are not a particularly well known or understood feature of the various entities which have them, including the SEC, IRS and CFTC. This CLE course will present an overview of these programs including eligibility, anonymity and the whistleblower process. The course will review the steps needed to file a claim with each agency and explain how claims are analyzed. The course will then delve deeper into the various ambiguities in the whistleblower awards process and p... More Info
$291General Credit -
Antitrust Merger Enforcement: Significant Regulatory Developments and Issues Explored
Designed to offer attorneys an in-depth understanding of the current state of US antitrust regulations and the role of antitrust agencies in reviewing and challenging mergers, this CLE course will present a comprehensive overview of the merger control process in the US, priorities of the antitrust agency priorities, highlights of recent merger challenges and forthcoming revisions to the US merger guidelines. The course will begin with an exploration of the core aspects of the US merge... More Info
$291General Credit -
Form CRS: Practical Considerations for Attorneys
A CRS is a new, 2-4 page disclosure document that SEC-regulated firms are required to deliver to their clients. Adopted to help investors understand the various standards of care that apply to their financial professionals (investment advisers vs. broker-dealers vs. dual registrants), as well as potential conflicts of interest which may be intrinsic to a firm’s business practices. It is therefore essential for attorneys who need to refer clients to a financial professional or firm to be aware... More Info
$291General Credit
