Indiana CLE - Securities Law Courses
This is a listing of Securities Law 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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Restricted Firm Obligations: What You Need to Know
Rule 4111 (Restricted Firm Obligations) went into effect recently, and creates new obligations and criteria for identification. This CLE course features FINRA staff as they present the new obligations under Rule 4111 as well as identify controls, processes and procedures that member firms have begun to implement to address the new obligations under the rule. The course will review the various identification metrics thresholds and explain restricted deposit accounts. More Info
$291General Credit -
Vendor Management: Due Diligence and Oversight
Choosing new vendors can be fraught with challenges. This CLE course, presented by FINRA staff and industry practitioners, will review the most important considerations when embarking on this type of decision. The course will address how to find technical solutions that fit your firm as well as best practices for conducting a due diligence review. Contract issue, new software implementation and an in-depth understanding of its limitations will be provided. The course will help you crea... More Info
$291General Credit -
Hot Topics in FinTech
FinTech (Financial Technology) is a dynamic, growing industry that seems to have been on fast-forward in recent years. This CLE course, presented by FINRA staff and industry practitioners, will explain how FinTech is defined by various stakeholders in the industry as well as new, innovative ways that firms are integrating FinTech into their business models. The course will address the critical importance of implementing a firm compliance structure in order to address regulatory obligat... More Info
$291General Credit -
Senior and At-Risk Investors
Seniors and Vulnerable Adults often fall under the wire. This CLE course will explain how FINRA rules and state requirements address this population, enabling firms to better address this increasingly growing client base and protect your organization. Presented by FINRA staff and industry experts, the course will review FINRA Rules 2165 and 4512 and address elder abuse prevention and protection acts. The course will also review State Report and hold laws. More Info
$291General Credit -
Social Media and the Rise of the Finfluencers
COVID-19 has dramatically altered the way we behave, some think for good. These changes impact all industries, including the financial services industry, where the rapid increase in digital adoption has changes the way we engage with one another and with our clients. This CLE course, presented by FINRA staff and industry analysts, will explain how social media and its influencers are changing the industry. The course will discuss the newest developments, effective compliance pr... More Info
$291General Credit -
Building a Successful Solo Mergers and Acquisitions Practice
This informative CLE course will present the various tools that all successful merger and acquisition practices should have. The course will review the use of flowcharts and checklists as well as offer practice tips, client management strategies and software recommendations. More Info
$291.3General Credits -
Cyber Security Compliance Trifecta: Recent Revisions to Three Important Security & Privacy Standards
Both large and small companies have been faced with increasing cybersecurity compliance concerns. This informative CLE course will review the standards and requirements revisions published recently, which have broad implications for cybersecurity compliance. These include the Spec. Pub 800-53 (Security and Privacy Controls for Information Systems and Organizations), released by the National Institute of Standards and Technology (NIST), the PCI-DSS 4.0 published by the Payment Card Indu... More Info
$291.1General Credits -
Basics of Patents: Are You Protected? Fundamentals of US Patents and Inventorship
Intellectual property comprises an increasing proportion of a company’s value. As a result, protection of intellectual property is of great importance to company owners as well as stockholders. This CLE course will offer a basic overview of patent law and inventor-ship in the US, and explain the ins-and-outs of patent claims, requirements to be identified as an inventor and disclosure issues in a patent claim. The course will also explain how patent claims are used in the marke... More Info
$291General Credit -
Bitcoin: Time For Lawyers To Take A Byte
With the emergence of blockchain technology, the Internet of Value has replaced the Internet of Information and the Internet of Things. It has thoroughly transformed our economic system with cryptocurrency being the hottest topic in financial news. The ethical issues involved however, have barely been discussed. This CLE course will address the opportunities as well as the risks for lawyers in the cryptocurrency and blockchain space. The course will offer an overview as well as... More Info
$291.1General Credits -
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
