Indiana CLE - Finance and Banking Courses
This is a listing of Finance and Banking CLE Courses for Indiana. Please make your selection below of Indiana 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.
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Social Media and Digital Communications: 2019-2020
This CLE program will focus on the rapidly changing world of digital marketing and communications. The panel will cover a variety of topics, which will illustrate how to stay on top of this constantly evolving area. Upon completion of this CLE, you will be able to: Describe digital marketing and digital communications; Talk about instant, text and app-based messages in your firm; Discuss how to approach social media, both external and internal to your firm; Summarize how to handle video cont... More Info
$501General Credit -
Regulation of Banks in the U.S.
This CLE course focuses on the regulation of banks in the U.S. It covers the significant bank regulatory laws from the Great Depression to the 2010 Dodd Frank Act, as well as both federal and state regulatory agencies having jurisdiction over banks. It also discusses various regulatory compliance requirements, including anti-money laundering and several Dodd Frank Act requirements; trends in governmental enforcement actions against banks; the recurring cycles of de-regulation resulting in fina... More Info
$501.2General Credits -
The Law of Bank Payments
This CLE course will discuss various issues concerning payments made by or through banks. Covered are laws concerning check and wire transfer payments made by and to consumers and businesses. Discussed are claims concerning such payments made against banks, and various bank defenses applicable to such claims. Also discussed are laws concerning payments collected through the Federal Reserve Banks and government regulation of payments concerning internet gambling. More Info
$1252.5General Credits -
Follow the Money: Legal Pitfalls of Investing in Cannabis
This CLE course will provide a broad overview regarding the wealth of opportunities that exist when thinking about investing in the cannabis industry, including breakdowns and industry overviews with current trends in mergers and acquisitions. This is followed by a discussion of regulatory and other key issues for U.S. investor clients including banking, 280E, and lack of research. The course continues with information about investing in cannabis abroad with a special focus on Canada and the p... More Info
$1002General Credits -
Market Regulation Priorities: Detecting and Preventing Misconduct
This CLE program provides updates on market regulation priorities, including current initiatives and rulemaking. This session focuses on market regulation priorities and sweeps. Panelists will share thoughts on equities, options and fixed income compliance programs. After attending this session, you will be able to: Understand Market Regulations’ initiatives, priorities and significant matters. Discuss major developments in equities, fixed income and options markets surveillance. D... More Info
$501General Credit -
Outside Business Activities and Private Securities Transactions
This CLE program will provide guidance on effective practices for monitoring outside business activities and supervising private securities transactions. FINRA panelists discuss common OBA deficiencies found during examinations. Panelists share effective practices regarding policies and procedures for identifying, documenting and disclosing OBAs. FINRA will also discuss the recently proposed rule changes related to OBAs and PSTs. After attending this session, you will be able to: Unde... More Info
$501General Credit -
Common Examination Findings and Effective Compliance Practices
This CLE program will include a discussion of common deficiencies noted during FINRA cycle examinations. The program will also provide guidance on taking corrective action and updating compliance procedures and practices based on lessons learned from common exam deficiencies. After attending this session, you will be able to: Discuss common findings in various regulatory areas and related supervisory deficiencies. Identify controls, procedures and processes that member firms are inco... More Info
$501General Credit -
Common Examination Findings and Effective Compliance Practices (Medium and Large Firm Focus)
This CLE program provides guidance on common deficiencies noted during FINRA examinations of medium and large firms.. Industry practitioners discuss taking proactive compliance measures and corrective action in response to examination deficiencies and recommendations. Senior FINRA staff discuss the exam process from their perspective and provide examples of best practices. After attending this session, you will be able to: Understand the FINRA examination process and effective practice... More Info
$501General Credit -
Enforcement Initiatives, Developments and Priorities
This CLE session provides an overview of the newly restructured Enforcement department, including how the department works with examination and surveillance groups across FINRA to develop Enforcement matters. The session will highlight some of the changes that Enforcement has recently implemented to its business process. Panelists will also discuss developments and trends in enforcement, including enforcement priorities and the principles that guide Enforcement’s decision-making. Panelists h... More Info
$501General Credit -
Common Examination Findings and Compliance Effective Practices for Institutional Firms
This CLE program provides guidance on common deficiencies noted during FINRA cycle examinations of institutional firms, and issues that result in a cautionary letter. Industry practitioners discuss their experience during examinations and taking corrective action and updating compliance procedures and practices based on lessons learned from common examination deficiencies. After attending this session, you will be able to: Understand the FINRA examination process and how to create effe... More Info
$501General Credit