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Securities Law Bundle - Indiana CLE

Total Credits:9 Ethics Credits:3

Bundle Price:$169 (Save $281!)

We have selected our most popular lectures and bundled them together into our Securities Law Bundle. This Bundle contains 9 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

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

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

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

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

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National Academy of Continuing Legal Education offers courses approved by Indiana Commission For Continuing Legal Education.

You can find us listed in the official IN Sponsor Report under National Academy of Continuing Legal Education here: https://courtapps.in.gov/Reports/api/SponsorReport.

Indiana attorneys may earn 9 hours of distance learning per compliance period from National Academy of Continuing Legal Education including three 3 ethics credits.

NACLE reports CLE attendance to the IN CLE board every 30 days. Please note: Any credits earned via distance learning in excess of the six credit limit, will not carry over into the next compliance period.

Accreditation and CLE Rules for Indiana

Securities Law Bundle - Indiana CLE

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