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Securities Law Bundle - Indiana CLE

36 Total Credits
w/ 9.9 Ethics
Bundle Price:$499 (Save $1,226!)

We have selected our most popular lectures and bundled them together into our Securities Law Bundle. This Bundle contains 36 Credit Hours of CLE Lectures including 3 Credit Hours of Ethics. *The Indiana Supreme Court has issued an order temporarily waiving the credit limitation for distance education until further notice. Attorneys with a CLE deadline on December 31, 2021 may complete all of their credits via online courses.

This CLE program will focus on the key issues regarding FINRA’s suitability Rule 2111 and the SEC’s Proposed Regulation Best Interest Rule, including a review of their differences. Panelists provide practical advice on how firms and registered rep...

General Credits:1

This CLE 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 Enforc...

General Credits:1

The past few years have been a whirlwind for ethics lawyers. From the national news to the changing landscape of the legal profession, lawyers have faced new and challenging issues in a variety of contexts. This riveting CLE program will cover the...

Ethics Credits:1.1

Many lawyers are unfamiliar with the nuances of computer technology and data security essential to comply with 21st century ethics rules and our digital world. There are many hidden dangers in frequently used tools and platforms, including e-mail, s...

Ethics Credits:1.5

This CLE program will help you better understand cryptocurrency and the history behind such currency. Marshal Shichtman will discuss in layman’s terms, how virtual currency works, what it is, the legal and regulatory issues involved in digital token...

General Credits:1.3

In recent years, advance conflict of interest waivers have become increasingly common in law firm retainer agreements. In this CLE program, Ronald Minkoff, one of New York’s leading ethics lawyers and head of the Professional Responsibility Group at...

Ethics Credits:1.1

The availability of venture capital has given many young companies the financial and advisory support needed help them grow into major corporations, while sparing them from the scrutiny and disclosure requirements demanded in the public markets. Cou...

General Credits:1.4

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 co...

General Credits:1.6

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

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

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

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

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

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

RegTech (Regulatory Technology) is more than a buzzword, it is a real movement that is already having an impact on regulatory compliance. This CLE lecture will give you insight on innovative technologies being used to develop more effective, effici...

General Credits:1

Effective August 23, 2019 the MSRB (Municipal Securities Rulemaking Board) substantially amended its rules for municipal dealers’ advertising and adopted a brand new standard for municipal advisors’ advertising. The MSRB also adopted formal guidanc...

General Credits:0.8

This CLE course is designed for compliance and marketing professionals who are new to FINRA’s advertising rules or experienced practitioners interested in a refresher. A panel of FINRA professionals provides an overview of FINRA’s Communications Wit...

General Credits:1

This CLE lecture will educate you about FINRA’s recently published Regulatory Notice 19-31, Disclosure Innovations in Advertising and Other Communications with the Public. Industry and FINRA experts share insights into how firms can facilitate sim...

General Credits:1

This CLE program will address advertising sales practice issues applicable to general brokerage firms and their registered representatives. FINRA staff and industry practitioners will discuss advertising compliance and sales practice issues app...

General Credits:1

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

This CLE lecture will focus on the impact civility or the lack thereof has on everyday practice. From interactions with clients, opposing counsel, judges and courtroom staff, the rules of professional conduct require lawyers to act civilly. This lec...

Ethics Credits:1.4

Outside business activities (OBAs) and private securities transactions (PSTs) are regulatory and examination priorities, as they can both result in conflicts of interest that firms must understand and, as necessary, mitigate. Join industry practitio...

General Credits:1

This CLE program examines some of the common mistakes made by new attorneys and explores some of the best ways to deal with them once they've occurred. Using the framework of the Illinois Rules of Professional Conduct, we will discuss common issues y...

Ethics Credits:1.5

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...

General Credits:1

Join FINRA staff and industry representatives as they discuss how recent developments in financial technology (FinTech) are disrupting the securities industry. Topics include RegTech (regulatory technology), artificial intelligence, identity authent...

General Credits:1

Join FINRA staff as they share helpful insight on identifying and assessing activity of registered representatives as high risk and how that intelligence can be more broadly used to assess risk across and within branch offices. Upon completion, you...

General Credits:1

This CLE program will highlight core regulations and best practices related to the supervision of institutional business activities. After attending this session, you will be able to understand the types of supervisory controls firms can implement t...

General Credits:1

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 pric...

General Credits:1

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...

General Credits:1

This CLE will focus on the latest regulatory updates and due diligence obligations and effective practices in connection with sales of alternative investments; including: Private Placements, Online Distribution Platforms, Finders, Real Estate Inves...

General Credits:1

Join FINRA staff and industry experts as they review legal cases and enforcement actions impacting AML programs. Panelists will cover regulatory trends, potential vulnerabilities, and how you can address any pitfalls in your AML program. Upon com...

General Credits:1

This CLE program is designed to give the trial lawyer/practitioner a real life sense of how to address rules of professionalism/ethics and civility in high stakes litigation, when your opponent’s zealous advocacy of his/her client’s interests can l...

Ethics Credits:1.6
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 click here.


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