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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Asset Protection for Cryptocurrency
In an increasingly litigious society, asset protection is more important than ever and cryptocurrency is therefore having its heyday. Simultaneously, it is the targeted asset in more and more lawsuits with Blockchain technology making it increasingly easier to see the amount of cryptocurrency an individual owns. This CLE course will offer strategies for protecting cryptocurrency assets in a lawsuit. More Info
$291General Credit -
Attorney Professionalism in the Capital Markets and Financial Service Industry
This CLE course will explain the role of an attorney in capital markets. The course will explain legal opinions related to public and private offerings, issues related to serving as an advisor on a corporate board and a representative of officers, directors or shareholders in regulatory investigations and government proceedings. SEC Rule 102€, disciplinary proceedings, civil litigation and how to coordinate with other professionals such as CPA’s will all be addressed. More Info
$341Ethics Credit -
Back to the Future in Fixed Income Investing? Navigating a Changing Landscape in Municipal and Fixed Income Securities
This CLE course will address the most common content standards between FINRA Rule 2210 and MSRB Rule G-21 as well as their primary differences. The course will offer tips and strategies on creating compliant municipal securities communications and considerations for more complex debt instruments. An understanding of how FINRA’s Fixed Income Regulation Staff works with MSRB on municipal securities matters will be presented as will the additional responsibilities of dually registered bro... More Info
$291General Credit -
Brokers With a Significant History of Misconduct
Hiring and retaining brokers with a history of misconduct is a risky business. This CLE course will present the new rules concerning brokers with histories of misconduct and will help you understand changes to rule 9200 and 9556. The course will address the heightened supervisory procedures required for statutory disqualified associated persons and will explain the process of submitting the written request requirement to the Membership Application Group (MAG). More Info
$291General Credit -
Business Interruption Coverage Post-Covid: Property and Business Interruption Claims and Forensic Accounting
Income losses from COVID-19 are a continued problem in industries throughout the US. Many, whether private organizations or public entities, have employed their Business Interruption insurance policy to offset the loss. This CLE course will present the current state of insurance claims for such interruptions and explain how to prepare, present and support a lost income claim. The course, presented by experienced professionals in the field of business interruption insurance, wil... More Info
$291General Credit -
Capital Formation: Current Regulatory Landscape and Challenges
Join us for an informative session where you can expand your knowledge on the regulatory landscape, potential challenges, and available resources for firms in the context of capital formation. In this CLE program, we will cover the following topics: Exploring the current regulatory landscape Examining challenges and obstacles from a firm's perspective Discovering valuable resources for firms Don't miss out on this opportunity to gain valuable insights and stay updated on the latest... More Info
$291General Credit -
Challenges Facing Firms in Monitoring AML and Protecting Against Fraudulent Activities
There are many inherent challenges facing firms in monitoring and protecting against fraudulent activity. This CLE course, presented by FINRA staff and industry panelists, will offer examples of the controls that their firms have effectively put into place in order to address the rising AML risks. The course will offer a review of AML and fraud protection red flags, effective practices, monitoring of high risk and/or suspicious activities and the various procedures and controls that ca... More Info
$291General Credit -
Chinese Investment in U.S. Real Estate
Chinese nationals seeking safe investment opportunities abroad have begun flocking to the US property market. The legal issues associated with issues such as taxes, corporate formation, transfer of funds, reporting and disclosure requirements, immigration and national security are all affected by this practice. This CLE will review all of these issues as well as examine legal strategies to avoid problems post-acquisition by addressing these issues proactively. More Info
$291General Credit -
Commercial Pace, The New Kid On The Block: The Legal Framework For A New Form Of Commercial Real Estate Financing
The Commercial Property Assessed Clean Energy Financing (C-PACE) is a new tool for property owners and developers which offers low interest and longer terms with a super-priority lien. It functions like a muni bond but can still be placed in a capital stack. This CLE course will explain the basics of the C-PACE is enabled and describe its legal structure, status and how it can be put to work for your clients from developers, banks, local governments or private owners. More Info
$291General Credit -
Common Examination Findings and Compliance Effective Practices for Institutional Firms
In this CLE course, industry practitioners will offer their experiences during FINRA cycle examinations, the corrective action taken and compliance procedures and practices based on their experiences. The course will provide expert guidance on preparing for the examination, the common deficiencies to be aware of, the examination process itself and how to facilitate it, and how to initiate procedural controls in response to the most common deficiencies noted. More Info
$291General Credit
