Securities Law Bundle Includes:

• $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

  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

  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

  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 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

  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 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

  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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• $65

  Selective Ethics in Litigation from the Plaintiff's Perspective

  Attorney Conduct 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

  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

  Clarity Above All Things: Writing Briefs That Can Actually Be Understood

  General Credits: 1

  This CLE course is designed to help attorneys master the art of clear and effective brief writing. Emphasizing readability and precision, the program focuses on techniques to craft briefs that are not only persuasive but also accessible to diverse audiences, including judges, clients, and colleague...

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• $34

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

  Attorney Conduct 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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• $55

  The ABCs of MSOs: How and Why to Form a Compliant Lasting and Profitable Management Services Organization

  General Credits: 1.5

  This CLE course offers a deep dive into Management Services Organizations (MSOs) and their pivotal role in the healthcare industry. Participants will gain a thorough understanding of MSOs, including their definition, purpose, structure, and function. The program addresses vital legal compliance...

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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

  Pause, Breathe, Lead: Mindfulness for the Modern Lawyer

  Attorney Conduct Credits: 1

  This CLE program introduces attorneys to the concept of mindfulness and its “attitudinal foundations.” Participants will examine evidence-based research showing how mindfulness can reduce stress, alleviate anxiety, and enhance presence in the moment. The session includes a guided mindfulness me...

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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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• $34

  Recognizing and Handling Conflicts of Interest

  Attorney Conduct Credits: 1

  Effectively managing conflicts of interest is a crucial aspect of legal ethics, and this course will provide attorneys with the necessary tools to navigate these challenges. The session will cover key considerations for identifying and addressing conflicts, including methods for conflict screening...

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• $34

  Ethical Mediation: Principles and Practices in Dispute Resolution

  Attorney Conduct Credits: 1

  Over the past decade, Alternative Dispute Resolution (ADR), particularly mediation, has seen a significant rise in use. Despite this, many legal professionals remain unfamiliar with the nuances of the process. In this course, Judge Scheinkman will explore the critical role of ethical considerations...

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• $29

  Crypto Assets: Trends, Regulatory Developments and Resources

  General Credits: 1

  Dive into the latest updates in cryptocurrency regulation in this insightful CLE session. We'll cover a range of critical topics, including the recent crypto-assets retail communications initiative, emerging trends in crypto misconduct, and practical resources for navigating the evolving landscape....

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