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 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 -
Market Structure: Current Developments and Future Trends
In this CLE program, panelists will engage in a discussion about the latest advancements in market structure. They will cover topics such as order handling, order routing, execution quality disclosure, and other relevant developments pertaining to fixed income and equity securities. The session will focus on the following points: Exploring ongoing developments and emerging trends in the industry, such as best execution guidance, concerns related to payment for order flow, and the impa... More Info
$291General Credit -
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 -
Mark-Up Disclosure Requirements
With a focus on FINRA and MSRB mark-up disclosure requirements, this advanced CLE course will review securities covered by the rule and how to calculate mark-ups on the basis of the prevailing market price. Effective practices and tips as well as indicators for when disclosure requirements are triggered will be presented along with the latest in MSRB guidance. Mark- Disclosure Requirements More Info
$291General Credit -
Medicaid Planning and Trusts: Planning for Your Client’s Incapacity
The aging of the population has only exacerbated the prohibitive cost of long term care. This CLE course will explain the latest developments in Elder Law and Medicaid Planning including eligibility and strategies for asset protection. The tax consequences, including income and estate taxes and exemptions, of Medicaid Trusts will also be discussed as well as real property transfers, liquid assets and basis issues. More Info
$552.3General 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 -
Metaverse Law: Intro to ARVR, Issues, IP Ownerships, Monetization, Cyber Currency, and Licensing
This CLE course will address the incredible breadth of tech law in the Metaverse, which still remains largely unregulated. The course will offer a review of the basic terminology – using terms everyone can understand – as well as how regulatory and statutory laws may apply to the Metaverse, how it polices itself and how it is monetized. The course will also delve into blockchain and security, intellectual property, cryptocurrency and other related issues with regards to funding... More Info
$551.7General Credits -
Mortgage Mayhem: What Attorneys Need to Know About Loan Applicant Protections
Purchasing a home is perhaps the most confusing, time consuming, stressful and yet infrequent transaction your clients will face. As a result, most consumers don’t bother to delve too deeply into the nuances, and simply rely on their loan officer to protect their interests. This is a mistake. For a loan officer, home loans are a “zero-sum” game for the loan officer – the loan either closes or it doesn’t. They earn their commission, or they don’t. Loan officers therefore tend to stack as many a... More Info
$291.1General Credits -
Municipal Rules and 529 Plans Update
The recently amended rules and new brand standard for municipal dealers’ advertising will be presented in full in this CLE course. New formal guidance for dealer and advertiser use of social media and how regulators are applying the modernized standards including the new rule will be discussed. The course will also present the recent sweep of the 529 educational savings plans and marketing for such products as well as how these rules impact marketing and advertising efforts. Applying the amend... More Info
$290.8General 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
