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Securities Law Bundle - Indiana CLE

Total Credits:18.4 Ethics Credits:4.7

Bundle Price:$299 (Save $626!)

We have selected our most popular lectures and bundled them together into our Securities Law Bundle. This Bundle contains 18 Credit Hours of CLE Lectures including 3 Credit Hours of Ethics.

The Ethics of Deception

$100

As lawyers, the most profound ethical issues we face generally arise not so much where the choice is between “good” and “bad,” or “right” and “wrong,” but, instead, where the issue compels us to choose between two (or sometimes more) competing “goo...

Ethics Credits:1.9

Cryptocurrency, Blockchain and Smart Contracts: An Introduction

$100

“Virtual currency,” “blockchain,” “smart contracts” – these words and phrases seem to be everywhere these days but do people really know what they mean. This CLE course will explain, in user-friendly terms, what virtual currency is, how it works a...

General Credits:1.7

Litigation Ethics Summit: I Walk the Line

$75

Applying ethics rules to real-world litigation can be daunting. Your clients want you to push the limits. Technology speeds everything up. And every time you open the Law Journal it's filled with malpractice cases, fee battles, pay equity claims, di...

Ethics Credits:1.7

Get Smart: Ethical Boundaries vis a vis Case Investigations and Evidence Collection in the Digital World

$50

With ever-changing and expanding social media, it is important for attorneys to understand the ethical boundaries in case investigations and when collecting evidence. This CLE will review various issues of relevance, including wiretap laws, pretexti...

Ethics Credits:1.1

Alternative Investments and Current Issues

$50

This CLE program discusses rules governing alternative investments, REITs and private placements. This session emphasizes the importance of understanding product features, characteristics and possible risks for purposes of suitability determinations...

General Credits:1

Working Together to Protect Senior Investors

$50

This CLE program provides guidance on identifying and responding to issues and concerns of clients who are or will soon be seniors. Join representatives from regulatory agencies and firms to discuss rules and laws promulgated to assist firms in prot...

General Credits:1

Detecting, Preventing and Investigating Fraud and Misappropriation

$50

This CLE program provides information regarding current fraud schemes from the front line regulators. After attending this session, you will be able to: Understand emerging trends in securities fraud and identify potential threats. Identify pote...

General Credits:1

Common Examination Findings and Compliance Effective Practices for Institutional Firms

$50

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 cor...

General Credits:1

The Three Lines of Defense: Risk Management Supervision, Compliance and Internal Audit

$50

This CLE program will provide guidance on the challenges facing compliance professionals. Separation of compliance and business supervision roles is becoming much more difficult. Join FINRA staff and industry practitioners as they discuss how their...

General Credits:1

Enforcement Initiatives, Developments and Priorities

$50

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...

General Credits:1

Implementing a Risk-Based Program and Identifying Red Flags

$50

This CLE program provides guidance on implementing an effective risk-based branch office inspection program. After attending this session, you will be able to: Understand FINRA’s Member Regulation Department’s approach to executing risk-based cyc...

General Credits:1

Suitability, Supervision and Surveillance

$50

This CLE program addresses key issues regarding compliance with the suitability rule. Panelists discuss key issues regarding compliance with the suitability rule. They provide practical advice on how firms and registered representatives can better...

General Credits:1

Effective Processes for Suspicious Activity Monitoring and Investigations

$50

This CLE program provides guidance on suspicious activity monitoring and investigations in AML (anti-money laundering). Panelists discuss how to establish and implement policies and procedures as well as obligations for firms. Attendees will gain an...

General Credits:1

Outside Business Activities and Private Securities Transactions

$50

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 effe...

General Credits:1

Market Regulation Priorities: Detecting and Preventing Misconduct

$50

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 com...

General Credits:1

Common Examination Findings and Effective Compliance Practices (Medium and Large Firm Focus)

$50

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 a...

General Credits:1

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National Academy of Continuing Legal Education is an Approved CLE Sponsor (106648) by the Indiana Commission For Continuing Legal Education. To view our full accreditation details, please .

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Securities Law Bundle - Indiana CLE

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