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Securities Law Bundle - Indiana CLE

36.3 Total Credits
w/ 7.8 Ethics
Bundle Price:$499 (Save $1,146!)

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, 2022 may complete all of their credits via online courses.

This CLE course is designed to provide an overview of the regulatory regime applicable to private and foreign (i.e., non-registered) investment funds and the issues raised by the explosive rise of cryptocurrencies in the past several years. The co...

General Credits:1.6

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 wit...

General Credits:1.1

As Corporate Social Responsibility (“CSR”) continues to trend up, more and more companies are considering philanthropic initiatives. But there are many ways to give back, and each program comes with significant compliance challenges. How do you sele...

General Credits:1.2

Although the procedures for litigating a construction lawsuit is, on its face, an adversarial process, the American Bar Association has established Model Rules of Professional Conduct to provide guidance for lawyer conduct to follow while “seek[ing]...

Ethics Credits:1.2

This CLE course provides an overview of the legal aspects of cross-border joint ventures (JVs). It covers the basic “nuts-and-bolts” of JVs, such as purpose, capital contributions, governance and management, veto rights and minority protections, pro...

General Credits:1.7

As we know, lawyers are required to comply with the ethics rules; however, many lawyers may not fully understand the ethics rules and ethical considerations regarding the types of permitted lawyer fees, requirements for referral fees and fee sharing...

Ethics Credits:1

Applying ethics rules during litigation is hard in normal times. Applying ethics rules in times of upheaval and downward pressure on fees is even harder. How has work-from-home increased compliance risk? How should we handle aggressive opposing coun...

Ethics Credits:3

Attorneys hopefully recognize that like many other professionals, their lives are filled to the brim with stress. It’s important to be proactive in dealing with it. The consequences of shrugging it off can be catastrophic - not only for them but for...

General Credits:1

This CLE program will help practitioners identify and implement various risk management tools that can help them avoid common ethical missteps and client complaints to the state bar. The presenters will discuss the types of conduct and practices th...

Ethics Credits:1.4

A very high-level overview of some of the issues and challenges facing attorneys representing companies that are utilizing new technology to improve and automate the delivery of financial services (FinTech). Overview of the core principles and r...

General Credits:1.1

Many lawyers relocated during the pandemic, either to escape perceived risk or simply because they could due to remote working. This CLE program will assess the legal and ethical ramifications of relocation to states beyond where one is license...

Ethics Credits:1.2

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 digitall...

General Credits:1.1

This CLE program will drill down into the many documents that an attorney often needs to prepare or review in connection with the purchase or sale of an entire business or of an ownership interest in a business. This will include the main documents...

General Credits:2.6

Turnkey real estate investments have become extremely popular across the country for promoters and investors alike. The question is whether a turnkey real estate investment is nothing more than a vanilla real estate deal, or a security in disguise....

General Credits:1.2

Attend this program to hear how to prepare for compliance with the consolidated audit trail. During this session, panelists discuss how to prepare for compliance with the consolidated audit trail (CAT), including, firm obligations, deadlines, and...

General Credits:0.9

Attend this program to hear how firms are complying with Regulation Best Interest (Reg BI) and Form CRS (client relationship summary) rules. Join FINRA staff and industry panelists as discuss issues and observations about how firms are complying...

General Credits:1

This session provides an overview of new developments and trends in Enforcement, including Enforcement priorities. Panelists discuss how a matter finds its way to Enforcement and what happens while in Enforcement. Panelists highlight noteworthy...

General Credits:1

Attend this session to hear how regulatory experts are evaluating the rapidly changing world of digital communications to capture investors’ attention and influence their behavior. The panel discusses risks and benefits of gamification features...

General Credits:1

The COVID-19 pandemic significantly affected firms’ day-to-day operations across the securities industry, including requiring firms to transition most or all staff to remote work environments and implement remote supervisory practices. Join FINRA st...

General Credits:1

Attend this session to learn about the firm grouping structure and lessons learned during implementation. During this session, you will hear discussions around the firm grouping structure, lessons learned as a result of transformation, and what...

General Credits:1

Attend this program to hear how to mitigate regulatory risk in addition to identifying opportunities to spend money wisely while fulfill their duties as officers of their firms. A strong compliance program does not have to be expensive to be ef...

General Credits:0.9

Attend this session to hear about recent and noteworthy fraud cases. This session focuses on recent or noteworthy fraud trends impacting the financial services industry. Panelists highlight emerging trends in financial frauds related to the broke...

General Credits:1

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 thou...

General Credits:1

The effects of the Supreme Court’s landmark 2018 antitrust decision in Ohio v. American Express continue to reverberate. Platforms have occupied the antitrust spotlight for several years now, but litigation unpacking and applying Amex to platforms i...

General Credits:1.2

Learn what tools are available to more effectively shield yourself from the effects of any lawsuit by protecting your personal wealth. The panel will discuss the following Topics: History of asset protection in the United States and abroad Und...

General Credits:1.6

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

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
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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