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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How FINRA Rules Get Made, Reviewed and Updated
Join FINRA staff and industry experts as they explain how a FINRA rule becomes a regulation. Panelists give an inside look into how the FINRA Retrospective Rule Review process works and how rules are selected for review. Panelists will also preview and discuss upcoming rule changes, proposals and other regulatory initiatives. Upon completion of this CLE program you will be able to: Discuss the Retrospective Rule Review Process; Review how the advisory committees are used; Identify and under... More Info
$501General Credit -
Investing in the Cannabis Industry 101
The Cannabis industry is arguably the fastest growing industry in the United States, if not globally. Opportunities abound both with respect to hemp and marijuana, but it’s critical to understand the landscape and nuances that are unique to the industry when considering investment or transactions in the space. Join Brent Johnson, CEO of Hoban Law Group (a leading global law firm dedicated exclusively to the Cannabis space), as he provides a high-level overview of the Cannabis industry, inves... More Info
$501General Credit -
Investment Companies Current Topics
Join FINRA staff and industry panelists as they discuss topical advertising compliance issues concerning registered investment companies, including mutual funds, ETFs and closed-end funds. Panelists cover the compliance challenges associated with complex products such as single stock ETFs, crypto futures funds, non-transparent ETFs and ESG focused investments. The panel also includes discussions regarding regulatory interpretations and compliance tips. More Info
$501General Credit -
Leveraging Regulatory Technology for Your Firm
During this CLE program, panelists discuss how RegTech is impacting the securities industry as well as related benefits, risks and regulatory considerations. The session also covers different RegTech tools available to enhance compliance efforts, such as FINRA's new Machine Readable Rulebook as well as other tools involving the use of artificial intelligence and cloud computing. This session will discuss: Considerations for using Regtech tool such as those incorporating AI for regul... More Info
$501General Credit -
Litigation Support Services Performed by Forensic Accountants
Lawyers, judges, and juries often struggle with complex accounting, valuation, and business issues. Therefore, forensic accountants can provide valuable services to litigants and their attorneys. These services can range from interpretive analysis, to investigations, to damages analysis and more. In this course, attendees will learn various types of litigation support services, learn the impact of a forensic accountant on all stages of a litigation, and listen to a case study with r... More Info
$501General Credit -
Mark-Up Disclosure Requirements
This CLE focuses on FINRA and MSRB mark-up disclosure requirements. Panelists discuss securities covered by the rule, when mark-up disclosure requirements are triggered and recent guidance on how to calculate mark-ups based on prevailing market price. Panelists share their perspectives on effective practices and helpful tips they have identified. Upon completion of this CLE program you will be able to: discuss the latest MSRB guidance concerning mark-up disclosure requirements. More Info
$501General Credit -
Market Regulation and Transparency Services Priorities: What You Need to Know
During this CLE session, FINRA staff discuss updates to market regulation and transparency priorities related to equities, options and fixed income compliance programs. This session will discuss: Discuss updates on market regulation and transparency priorities, including current initiatives and rulemaking FINRA panelists share thoughts on equities, options and fixed income compliance programs Include information on: Manipulative Trading Reg Notice 22-27 (TRACE) Fixed Income Fair... More Info
$501General Credit -
Market Regulation Priorities
Attend this session to hear about market regulation priorities, including current initiatives and rulemaking. This session provides updates on market regulation priorities, including current initiatives and rulemaking. FINRA panelists share thoughts on equities, options, and fixed income compliance programs. After attending this session, you will be able to: Understand FINRA Market Regulations’ initiatives, priorities, and significant matters Discuss major developments in eq... More Info
$501General Credit -
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 -
Market Structure: Current Developments and Future Trends
During this session, panelists discuss current developments in market structure, including order handling, order routing and execution quality disclosure, and other developments for fixed income and equity securities. This session will discuss: Discuss current developments and future trends in the industry, including best execution guidance, payment for order flow issues and Transparency 605/606 A notice and comment period on Market Structure will wrap up around May – discuss notice... More Info
$501General Credit