Indiana CLE - Finance and Banking Courses
This is a listing of Finance and Banking CLE Courses for Indiana. Please make your selection below of Indiana CLE courses. Click "Add To Cart" to purchase Individual CLE Courses. For more information about a particular CLE course, click on the "More Info" link. Click the "Preview" button to view a short preview of the course.
Indiana CLE
Accreditation Info
Courses purchased through UnitedCLE.com are provided and fully accredited by The National Academy of Continuing Legal Education, an Approved CLE Sponsor (106648) by the Indiana Commission For Continuing Legal Education. To view our full accreditation details please .
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Enforcement Initiatives, Developments and Priorities
FINRA’s newly restructured Enforcement department, its workings and the various enforcement groups comprised will be the focus of this informative CLE course. The course will highlight recently-implemented changes to business processes and trends in enforcement as well as the principles that guide them. Panelists will present crucial settlements that illustrate FINRA’s top priorities, offer guidance on regulatory and compliance procedures and provide insight on managing enforcement investigation... More Info
$291General Credit -
Market Regulation Priorities: Detecting and Preventing Misconduct
This timely CLE course provides much needed updates on market regulation priorities as well as current initiatives and rule-making. The course will help you to understand market regulations initiatives and priorities, FINRA’s market regulation examination priorities and disciplinary action regarding equities, fixed income and options markets. More Info
$291General Credit -
Follow the Money: Legal Pitfalls of Investing in Cannabis
With cannabis being regulated in a variety of states, investors are scrambling to understand the complexities of this new industry. This CLE course will explain the many investment opportunities presented by the cannabis industry and how they fit into current trends in mergers and acquisitions. Regulatory issues, banking 280E and lack of research will be discussed as well as issues related primarily to Canada and its push toward post-legalizations initiatives. The presenters will also explain ta... More Info
$552General Credits -
The Law of Bank Payments
As people switch to online banking, the use of wire transfer payments has risen as well. With a focus on both consumer and commercial payments, this CLE course will review issues related to payments made by or through banks. Claims against banks concerning these payments as well as defenses banks may use against such claims. Laws with regard to payments through Federal Reserve Banks as well as government regulations concerning internet gambling will all be discussed. More Info
$812.5General Credits -
Regulation of Banks in the U.S.
Offering a comprehensive overview of the significant bank regulatory laws beginning in the Great Depression and stretching through to the 2010 Dodd Frank Act, this CLE course will explain all aspects of bank regulation in the US. The course will explain the state and federal agencies that have jurisdiction over banks and a variety of the regulatory compliance requirements including Dodd Frank Act requirements. Trends in governmental enforcement action against banks, recurring cycles of deregulat... More Info
$291.2General Credits -
Effective Corporate Governance and Oversight
Designed to define and illustrate the impact of corporate governance and oversight in preventing governmental prosecution and enforcement, this CLE course will explain the role that boards of directors, senior management and others in an organization to create an effective corporate governance and oversight structure. The course will also explain ethics programs and enterprise risk management frameworks that these structures may require as well as the types of “independent” directors that a bo... More Info
$291.3General Credits -
Mergers & Acquisitions in the Cannabis Industry
With legalization spreading across the US, the cannabis industry has become one of the fastest growing across the country and around the world. With this incredible opportunity comes a wide variety of specifics and legalities that must be taken into account before starting a venture. This CLE course, presented by Brent Johnson, CEO of Hoban Law Group which is exclusively dedicated to this industry, will explain the landscape and nuances unique to the hemp and marijuana industry. The course wil... More Info
$291General Credit -
Investing in the Cannabis Industry 101
With a special focus on key considerations and the art of navigating investments in the industry, this CLE course provides a comprehensive overview of the fastest growing industry in the US and abroad – cannabis. Indeed with legalization spreading across the country, the cannabis industry provides an incredible opportunity. But with that opportunity comes a particular landscape and legal nuances that must be taken into account before starting a venture. Presented by Brent Johnson, CEO of Hoban... More Info
$291General Credit -
What All Lawyers Need to Know about US Banking Law
Regardless of whether you are representing a bank or a client who is a counter-party to a bank, bank regulatory issues may arise. Designed for general practitioners, this CLE course will offer an overview on the complexities of the US banking system and the various applicable laws and regulations. The purpose of the course is to familiarize attorneys regarding the relevant regulators. How banks are formed, what they are permitted to do and other transaction-related issues will be discussed wit... More Info
$551.9General Credits -
Essentials of Corporations, Partnerships and LLC's
Presented by business lawyers Eli Greenberg and Mark Silverstein, this CLE course will offer an overview of the four principle business entities - Corporations, General Partnerships, Limited Liability Companies, and Limited Partnerships. The course will explain the ins and outs of organizing, managing and financing such entities as well as how to deal with mergers & acquisitions and option plans. Fiduciary duties and indemnification of management will also be discussed. More Info
$291.4General Credits
