Indiana CLE - Securities Law Courses
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The Basics of Blockchain and Cryptocurrency in Estate Planning
On January 3, 2009, the Bitcoin network came into existence. Since then Bitcoin, and other internet currencies have grown in popularity and credibility. Cryptocurrencies can provide a secure and universal form of payment. They can be stored digitally and can operate without the use of a middleman or bank. This CLE Lecture will cover the basics of cryptocurrency, how the Blockchain works, and how Cryptocurrencies can fit into your Estate plan. More Info
$501.1General Credits -
SPAC IPOs: Hotter Than Ever and How They Work With Forms
A Practitioner’s Guide to the formation, filing and public offering of the securities of a Special Purpose Acquisition Company(SPAC), with forms. This CLE course provides insights, examples and explanations of the public offering process. The course is suitable for all attorneys who represent business entities of any kind. Dan Brecher is a nationally known, widely published securities attorney who has been lead counsel in hundreds of public and private offerings, including SPACs.... More Info
$751.6General Credits -
Guiding Witnesses Through The Minefield of FINRA On-The-Record Interviews (OTRs)
One of the key Investigative Techniques used by the Financial Industry Regulatory Authority (FINRA) are on-the-record interviews (OTRs). This CLE course will discuss in detail the dynamics of FINRA OTRs and how to properly prepare and represent witnesses during these proceedings. What is FINRA really trying to accomplish. What should the witness try to achieve and how can the witness avoid dangerous pitfalls. More Info
$501.1General Credits -
Essentials of Corporations, Partnerships and LLC's
This CLE program will provide an overview on the four principal business entities – Corporations, Limited Liability Companies, General Partnerships and Limited Partnerships. Business lawyers Eli Greenberg and Mark Silverstein will discuss organizing, financing and managing entities, mergers and acquisitions and option plans. Additional topics include fiduciary duties and indemnification of those managing an entity’s affairs. More Info
$501.4General 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 -
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