Securities Law Bundle Includes:

• $55

  Representing the Startup Enterprise Through the “Four Stages” of Capital Formation

  General Credits: 2

  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 ent...

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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

  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

  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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• $34

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

  Ethics Credits: 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

  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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• $34

  Ethical Use of Social Media in One's Legal Practice

  Ethics Credits: 1

  In today’s digital age, social media has become an unavoidable part of both personal and professional life—including legal practice. This CLE course delves into the ethical pitfalls that attorneys and law firms may encounter across various social media platforms. Participants will examine the commo...

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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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• $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

  Staying Ethical Under Fire: Navigating Immigration Practice Today

  Ethics Credits: 1

  Immigration attorneys face extraordinary pressure to advocate fiercely for their clients—but ethical obligations don’t disappear under pressure. This CLE course examines the ethical dimensions of immigration practice, helping lawyers stay compliant while still fighting effectively for their clients...

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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

  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

  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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