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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Market Structure: What Factors Are Driving Changes
This CLE course will present the newest developments and trends in the industry. Presented by FINRA staff and industry practitioners, the course will offer tips and strategies for execution guidance and issues related to payment for order flow. Effective practices for reviewing and documenting execution as well as the technology currently available to process trades will be discussed. More Info
$291General Credit -
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 -
Navigating the Purchase and Sale of a Financial Advisory Practice
Designed to provide a general overview of transactions for clients who are brokers and/or financial advisers in connection with sales and mergers of their businesses, this CLE course will help attorneys become well-versed in the regulatory, contractual and litigation concerns their clients face. The course will deal with the particular nuances of these types of transactions as well as the regulatory considerations, valuations, revenue estimations and financing. The course will focus on the full... More Info
$291General Credit -
New Jersey Attorney Trust And Business Accounting Fundamentals
The Court Rules and the RPCs, require attorneys practicing in the State of New Jersey to maintain trust and business accounts. This comprehensive CLE course focuses on the various rules and practical ethics of establishing the trust and business accounts. The course will also offer practical tips on maintaining these types of accounts as well as strategies for avoiding the myriad potential pitfalls and errors that many new attorneys encounter. More Info
$291General Credit -
Offshore Asset Protection: Exploring the Various Jurisdictions for Protecting your Clients' Assets
The US is considered one of the world’s most litigious societies. But charging others and being charged are two entirely separate matters. This CLE course will help attorneys better advise their clients in how to survive a lawsuit by utilizing offshore asset protection to shield assets from frivolous claims. The course will address how to use various locations such as the Cook Islands, Saint Kitts and Nevis, Belize, and Switzerland, the different types of protections, and their purpose... More Info
$291General Credit -
Offshore Versus Domestic Asset Protection, What You Need To Know
Presented by a seasoned Asset Protection Attorney, this CLE course will offer an extensive examination of the most prevalent domestic and international tools designed to protect your clients' assets from legal disputes. The course will cover: An Explanation of Asset Protection The Role of Asset Protection in today's increasingly litigious society A historical timeline tracing the evolution of the Asset Protection Industry A review of the most commonly employed strategies for asset... More Info
$291General Credit -
Oh How the Mighty Have Fallen: Crypto and the Federal Securities and Commodities Laws
With the fall of FTX and the dream of cryptocurrency, the intersection between it and federal and security commodities becomes both fascinating and highly relevant. And as per the title of this session, has taken on Biblical proportions (see Samuel 2, 1:19). This riveting CLE course will present the allegations by the U.S. Department of Justice, the Securities and Exchange Commission and the Commodities Future Trading Commission against Samuel Bankman-Fried, former CEO of FTX, and wil... More Info
$291General Credit -
Outside Business Activities and Private Securities Transactions
Designed to guide attendees on best practices for supervising private security transactions and monitoring outside business activities, this CLE course presented by FINRA panelists will also address common OBA deficiencies found during examinations. Procedures for identifying, documenting and disclosing OBA’s as well as rule changes for OBA’s and PST’s will be discussed. The course will help attendees understand the myriad challenges presented by OBA’s and PST’s and how to monitor and supervise... More Info
$291General Credit -
Private Placements: The Latest Regulatory Developments and Compliance Considerations
This CLE program will explore the latest private placement regulatory advancements, with a particular focus on regulatory notice 23-XX. Gain valuable insights into compliance responsibilities and best practices concerning Reg BI, sales materials, due diligence, conflicts of interest, and other pertinent topics. This session will cover the following areas: In-depth analysis of recent regulatory developments, compliance obligations, and effective practices pertaining to private placem... More Info
$291General Credit -
Redefining Communications Compliance for the Digital Age
Join us in exploring how firms are tackling the compliance challenges and leveraging the opportunities presented by the growing reliance on mobile apps, social media, and other digital channels for communication. In this enlightening session, industry experts and representatives from FINRA will provide valuable insights on navigating the intricate landscape of firm communications with the public. The panelists will delve into a range of important topics, including lessons learned from F... More Info
$291General Credit
