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.

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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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Securities Law Courses

  • Safeguarding Your Business & Investment Clients with Proactive Asset Protection & Estate Planning

    The goal of Asset Protection & Estate Planning Program for Business & Investment Clients is to address both legacy and family considerations as well as provide complete asset protection while optimizing tax benefits. This CLE course will provide everything you need to know to design a program that is both easy-to-use and flexible enough to apply even as a portfolio grows. The programs must also be able to hold up under any legal scrutiny and be fully integrated so that assets are not le... More Info

    $55
    2General Credits
  • Overhaul of Regulatory Capital Requirements Proposed By US Banking Regulators

    This CLE course will examine the new, and fairly extensive, list of revisions to the regulatory capital requirements for both large and midsize banking organizations which were jointly proposed by US federal banking regulators. The revisions, which are quite lengthy, would seriously alter the requirements for market, credit, and operational risk, and while many of these revisions have long been anticipated, such as the re-evaluation of use of internal models, others are quite novel, such as th... More Info

    $55
    1.5General Credits
  • The Case Against Tipper X

    On what he thought was a typical workday in New York City, Tom Hardin woke up, went to the gym and ran a few errands on the way to the office. And on his way, two FBI agents suddenly appeared, publicly flashed their badges and began questioning him about his job. Tom was shocked and confused and began to worry when the agents began sharing details about his personal life and his family, even where he was last weekend. It was that event that began the process of Tom Hardin going from he... More Info

    $55
    1.5General Credits
  • Navigating the SEC and CFTC Whistleblowing Programs

    Whistleblower programs are not a particularly well known or understood feature of the various entities which have them, including the SEC, IRS and CFTC. This CLE course will present an overview of these programs including eligibility, anonymity and the whistleblower process. The course will review the steps needed to file a claim with each agency and explain how claims are analyzed. The course will then delve deeper into the various ambiguities in the whistleblower awards process and p... More Info

    $29
    1General Credit
  • Ask FINRA Senior Staff

    In this CLE program, senior staff members from FINRA deliver informative updates on crucial regulatory matters. The panelists engage with the audience, addressing inquiries concerning FINRA's risk-based examination program, disciplinary actions, market regulation initiatives, as well as new and forthcoming rules. Attendees can expect to gain valuable insights into these areas and obtain a comprehensive understanding of the current regulatory landscape. More Info

    $29
    1General Credit
  • Compliance and Legal Trends

    This CLE program will delve into the emerging trends, pivotal focus areas, and strategic initiatives that are currently shaping the landscape. Gain valuable insights from the panelists as they analyze the impact of these transformative changes on compliance practices. Discover how organizations are adapting, evolving, and effectively responding to the interplay of business dynamics, regulatory developments, and technology advancements. This engaging discussion offers a unique opportuni... More Info

    $29
    1General 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

    $29
    1General Credit
  • Current Issues Under Regulation Best Interest and Form CRS

    A dynamic forum brings together regulators and industry practitioners, fostering discussions that encompass a wide range of current topics and valuable lessons derived from experiences with Reg BI (Regulation Best Interest) and Form CRS (Customer Relationship Summary). These exchanges of insights delve into various perspectives, exploring firm effective practices and examination experiences to gain a comprehensive understanding of these regulatory frameworks. Within this forum, regulato... More Info

    $29
    1General Credit
  • Hot Topics in Municipal Securities and Other Fixed Income

    During this CLE program, a wide range of essential aspects pertaining to fixed income securities will be covered. This includes examination priorities, common findings, and enforcement actions, as well as rulemaking specific to the fixed-income market. An update on SEC Rule 15c2-11 will also be provided. The session will address the following topics: Review of recent enforcement actions concerning municipal securities, such as 529 Plans and municipal short positions. Additionally, it... More Info

    $29
    1General Credit
  • Leveraging Regulatory Technology for Your Firm

    In this CLE, the panelists delve into the impact of RegTech on the securities industry, examining the associated benefits, risks, and regulatory factors. They explore a range of RegTech tools that can enhance compliance efforts, including the innovative Machine Readable Rulebook introduced by FINRA. The session highlights the role of artificial intelligence and cloud computing in these tools. Key topics covered include: Considerations for utilizing RegTech tools, particularly those in... More Info

    $29
    1General Credit
  • Market Regulation and Transparency Services Priorities: What You Need to Know

    Join us for an engaging session where FINRA staff will provide comprehensive insights into the latest updates on market regulation and transparency priorities concerning equities, options, and fixed income compliance programs. During this session, our esteemed panelists will discuss the following key topics: Updates on market regulation and transparency priorities, encompassing ongoing initiatives and rulemaking efforts. In-depth thoughts and perspectives from FINRA panelists on equi... More Info

    $29
    1General 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

    $29
    1General 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

    $29
    1General Credit
  • The Evolution of Branch Office Inspections

    Join our panel discussion as we explore valuable insights gained from the shift towards remote branch inspections. Our esteemed speakers will delve into topics such as effective tools and documentation strategies, alternative vendors, key indicators to watch out for ("red flags"), as well as the latest developments in FINRA inspections and other regulatory advancements. More Info

    $29
    1General Credit
  • The Firm Perspective on Monitoring and Protecting Against Financial Crimes

    Don't miss this session covering financial crimes from a firms' perspective. This CLE session will cover a wide range of tactics, red flags, and mitigation strategies associated with fraud, insider trading, cybersecurity, and money laundering. Key topics include: Effective practices and controls for firms to monitor, protect against, and address AML, cybersecurity, and fraudulent activities. Tips to identify potential red flags for fraud and insider trading, along with guidance on re... More Info

    $29
    1General Credit
  • Current Trends and Threats in Financial Crimes

    During this CLE session, Deputy Director Abbate and Under Secretary Nelson engage in a comprehensive dialogue on the most recent advancements in financial crimes and the risks associated with illicit finance. The discussion encompasses novel and emerging threats concerning money laundering, fraud, securities fraud, cybercrime, digital assets, and sanctions. More Info

    $29
    1General Credit
  • Financial Responsibility Rules and Relevant Touchpoints

    Join us for an enlightening CLE course where our esteemed panelists will explore a range of topics related to SEC and FINRA financial responsibility rules. The discussion will encompass the regulatory obligations imposed on introducing, intermediary, carrying, and clearing firms as outlined in FINRA Rule 4311 and SEA Rule 17a-4. In addition, the panel will delve into other subjects such as liquidity management and the intricacies of fully-paid lending. More Info

    $29
    1General 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

    $29
    1General Credit
  • The Inside Scoop on Insider Threats and Cybersecurity

    This CLE program is designed to expand your understanding of the compounding risks associated with insider and related cyber threats. By joining this session, you will gain comprehensive knowledge about the various manifestations of these risks, their potential occurrence in different contexts, and most importantly, why it is crucial for your firm to prioritize the evolution of its programs in order to effectively detect and mitigate insider activity. In today's interconnected digital l... More Info

    $29
    1General Credit
  • Antitrust Merger Enforcement: Significant Regulatory Developments and Issues Explored

    Designed to offer attorneys an in-depth understanding of the current state of US antitrust regulations and the role of antitrust agencies in reviewing and challenging mergers, this CLE course will present a comprehensive overview of the merger control process in the US, priorities of the antitrust agency priorities, highlights of recent merger challenges and forthcoming revisions to the US merger guidelines. The course will begin with an exploration of the core aspects of the US merge... More Info

    $29
    1General Credit
  • Cyber Security and Cyber Breach: What Lawyers and Their Law Firms Need to Know Now

    This CLE program will explore the issues surrounding cyber security, the potential consequences of a cyber breach, and the ethical considerations that accompany such an event. With over 50 state laws in the United States concerning data privacy and security, companies must understand what legal and ethical obligations their business and clients have when it comes to personal information. The Federal Trade Commission also keeps an eye on companies to make sure that they are following th... More Info

    $29
    1.1General Credits
  • Skip Tracing for Lawyers

    Located a missing person is sometimes required of attorneys in most areas of practice, though more often for those practicing trust and estates, malpractice, debt collection, personal injury, and real estate law. Typically, with enough information, creativity and resources, attorneys can locate individuals without the services of private investigators or skip tracers. This informative CLE course, developed by a seasoned investigative attorney, will help lawyers develop basic people sea... More Info

    $29
    1.2General Credits
  • Form CRS: Practical Considerations for Attorneys

    A CRS is a new, 2-4 page disclosure document that SEC-regulated firms are required to deliver to their clients. Adopted to help investors understand the various standards of care that apply to their financial professionals (investment advisers vs. broker-dealers vs. dual registrants), as well as potential conflicts of interest which may be intrinsic to a firm’s business practices. It is therefore essential for attorneys who need to refer clients to a financial professional or firm to be aware... More Info

    $29
    1General 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

    $29
    1General Credit
  • Due Diligence Under The 33 Act: Avoid Disasters in the Middle of an IPO

    This CLE course will offer a comprehensive overview of what lawyers and bankers confront during the marketing and distribution process of IPO’s. The course will address potential pitfalls and issues that may arise and provide real-life examples of the many hurdles that could potentially jeopardize your success. Learn about what faces you in the IPO underwriting process and ensure yours and your client's success by anticipating problems and acting strategically. More Info

    $55
    1.8General Credits
  • 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

    $29
    1General Credit
  • Digital Communications and Social Media

    With digital marketing rapidly changing, how do firms remain in compliance? How do we communicate relevant, meaningful information in this dynamic digital age? This CLE course will explain the challenges being faced by industry and regulatory experts and how they are successfully addressing these challenges. The course will touch on hot button issues such as how firms engage technology to address their compliance obligations and how to implement creative methods for effective disclosur... More Info

    $29
    1General Credit
  • Variable Products & Retirement Planning

    Presented by FINRA staff and industry practitioners, this CLE course will explain variable and retirement planning productions including how to create a variable product communication with respect to content and performance. Select topics such as supplemental hypothetical illustrations, comparisons and complexity of investment options and contracts will be addressed as will the importance of audience/context, substantiating claims, and disclosure. A successful review process and an und... More Info

    $29
    1General Credit
  • Ad Review Workshop: Part 1

    This dynamic, highly interactive CLE course will offer attendees the opportunity to apply FINRA advertising rules to several mock advertisements and uncover the hidden concerns. Attendees will work in small groups and present their conclusions to the larger forum with moderators presenting the regulatory perspective, and clarifying misperceptions. More Info

    $29
    1General Credit
  • Advertising Compliance Bootcamp: Select Topics

    This CLE course will address the issues of content violations, disclosure and performance standards of SEC Rules. The course will also explain the current standards for variable insurance product communications, and offer expert guidance as they relate to options communications, rankings presentations, and the fundamental concepts of digital communications such as social media. The course will ensure you understand how to comply with FINRA Rule 2210’s content standards and can apply th... More Info

    $29
    1General Credit
  • Advertising Compliance: Fundamentals of FINRA Rule 2210

    Whether you are new to FINRA’s advertising rules or an experienced practitioner looking for a refresher course, this informative CLE course, presented by a panel of FINRA professionals, offers a comprehensive overview of FINRA’s Communications With the Public rule. The course will include filing requirements, content standards, internal approval and supervision. Course panelists answer questions about the rules that apply to financial services communications and marketing materials and... More Info

    $29
    1General Credit
  • Current Communications with the Public Regulatory Issues

    This CLE course offers an in-depth discussion on current communications with public regulatory issues. Presented by FINRA and SEC staff, the course will include a discussion of the new Investment Advisers Act Marketing Rule. The course will address recent communications proposals and rule changes as well as provide an understanding of the new marketing rule that will impact firm communications. More Info

    $55
    1.5General Credits
  • Exempt Offerings

    Designed to address industry and regulatory developments related to Reg D and Reg A+ offerings, this CLE course will address recent regulatory findings and common concerns. The course will also offer practical information and best practices for firms offering these products to retail investors. A discussion of Regulatory Notices 20-21 and 21-26 will be included. More Info

    $29
    1General Credit
  • Fintech Firms: Communications Compliance Topics

    This CLE course presents the insights of FINRA staff and industry panelists on the challenges and effective practices of communications compliance for Fintech-focused firms. The course will cover topics such as mobile applications, integrated product offerings, digital engagement practices, and crypto assets. Panelists will offer tips and answer questions on the use of technology and how it can help navigate this dynamic area. More Info

    $29
    1General Credit
  • Investment Companies Current Topics

    This CLE course will address a variety of advertising compliance issues concerning registered investment companies. These may include mutual funds, ETFs and closed-end funds. FINRA staff and industry experts will present the compliance challenges related to complex products such as single stock ETFs, non-transparent ETFs and ESG focused investments and crypto futures funds,. The panel will also discuss regulatory interpretations and offer tips to stay in compliance. More Info

    $29
    1General Credit
  • Managing Your Client’s Series A Offering of Securities: A Step by Step Guide

    Before a start-up or early stage company is ready for its first round of venture capital, known as a Series A Round or Series A Offering, it typically goes through a number of informal financing rounds. To that end, companies will turn to founders, friends and even family members. If it’s successful however, the Series A offering of securities will involve a series of steps. This informative CLE course will offer a complete overview of the process including: reviewing and updating... More Info

    $55
    1.5General Credits
  • Cryptomorphing The Legal Profession: Musings From A Stacker In The Rye

    Blockchain technology and cryptocurrency is a complicated area with a far-reaching impact on the legal profession. This CLE course will explore topics from the acceptance of cryptocurrency as payment for legal services to cryptocurrency and blockchain technology’s impact on payment systems’ security transactions, public record filing and smart contracts. The goal of the course is to motivate participants to learn more about this dynamic and exciting area of study. More Info

    $55
    1.5General Credits
  • Cryptocurrency and the Blockchain: Understanding the Landscape of Legal Issues and Offerings

    Cryptocurrencies and blockchain technology are sources of tremendous confusion, particularly given the recent market upheavals and drastic swings in their value. Whether cryptocurrency and blockchain technology are a fading fad or the beginning of a new direction in currency has yet to be determined, yet legal analysis may have a decided impact on the verdict. This CLE course will address the legal challenges and their impact on the industry as well as several key issues which... More Info

    $29
    1.1General Credits
  • 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

    $55
    1.7General Credits
  • 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

    $29
    1General 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

    $29
    1General Credit
  • Communications Compliance: Current Developments

    Designed to address current communications compliance and marketing practices, this informative CLE course will offer guidance on how FINRA’s communication rules are applicable in virtual environments, particularly regarding ESG and other investment trends. The course will explain the regulatory implications of complex products and services including crypto assets and emerging technologies with regards to marketing compliance. The course will address revisions made to FINRA Rules 2210... More Info

    $29
    1General Credit
  • Conflicts of Interest in Capital Markets and Investment Banking

    Conflicts of interest in capital markets and investment banking firms are more and more common. This CLE course will offer useful and effective tips and strategies for managing these conflicts from how to raise concerns to how to find remedies when conflicts arise. The course will present methods that firms may use to identify and mitigate risks associated with conflicts of interest as well as apply practical compliance approaches when they arise. The course will offer formal a... More Info

    $29
    1General Credit
  • Considerations and Practices for Supervising Independent Contractors

    Independent contractors are notoriously difficult to supervise. This CLE course will offer suggestions and examples of effective supervision and compliance methods that firms can implement to improve their supervision. The course will address existing rules and common industry practices and enable you to better understand the challenges inherent in supervising independent contractors. Oversight, cybersecurity policies and procedures will all be presented. More Info

    $29
    1General Credit
  • Consolidated Audit Trail

    Preparing for compliance with the consolidated audit trail (CAT) requires knowledge and strategy. This CLE course will explain preparation techniques including deadlines, resources and firm obligations. The course will announce key dates in the near future as well as resources available to help with preparation. More Info

    $29
    1General Credit
  • Gamification, Mobile Apps and Digital Engagement

    This CLE course will offer insights into the increasingly dynamic world of digital engagement practices including broker dealers’ mobile apps, gamification, marketing and online platforms. The course will explain how regulatory and compliance experts are addressing the rising use of data analytics to initiate digital communication. Risks and benefits of digital engagement features as well as how to effectively supervise these features will be presented as will the ways in which the fin... More Info

    $29
    1General Credit
  • Hot Topics in Municipal Securities and Other Fixed Income

    There have been a variety of recent enforcement actions related to municipal securities (e.g. 529 Plans, municipal short positions), fixed-income related rulemaking, examination priorities and other typical problems that are revealed during Member Supervision and Market Regulations reviews. This CLE course, presented by FINRA and MSRB staff, will explain recent enforcement actions on muni shorts and 529’s as well as address a variety of topics related to municipal securities and recent... More Info

    $29
    1General 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

    $29
    1General Credit
  • Remote Supervision

    Remote work has become the norm in the post-COVID world. This CLE course, presented by FINRA staff and industry panelists, will explain what they have learned as they moved to remote work. Presenters will discuss a wide range of issues including effective controls, processes and procedures being incorporated by member firms to address supervision in remote work environments. The course will enable you to identify these as well as evaluate effective practices that are emerging as a resu... More Info

    $29
    1General Credit
  • 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

    $29
    1General 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

    $29
    1General 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

    $29
    1General 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

    $29
    1General 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

    $29
    1General 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

    $29
    1.3General 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

    $29
    1.1General 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

    $29
    1General 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

    $29
    1.1General 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

    $29
    1General Credit
  • Setting Up Your Securities Clients For Success

    Legal counsel will typically evaluate Exempt Offering Documents on legal grounds, ignoring the option of considering how offerings can be best articulated from the underwriting perspective. This CLE course will offer tips on how to approach securities documentation from the standpoint of underwriting standards which have the benefit of consistency and efficacy in offering documentation. The purpose of the course is to help legal counsel offer informed, risk-adjusted investment decision... More Info

    $55
    2General Credits
  • GRAT and Valuation Planning After CCA 202152018: What Practitioners Need to Know

    The CCA 202152018, released at the end of 2021, addresses the valuation challenge regarding the consideration that should be given to a potential sale when valuing an asset. Its impact on grantor retained annuity trusts (GRATs) and how an appraiser valuates the implications of a potential sale from no sale, conversations with buyers, letters of intent, binding contracts and so forth across the continuum. The recent changes place a possible sale fairly close to an actual sale in the pro... More Info

    $29
    1.3General Credits
  • The Regulation of Private and Foreign Funds in the Age of Cryptocurrency

    Cryptocurrency has transformed the way we think about investing. This CLE course will offer a comprehensive overview of the regulatory system as it applies to private and foreign investment funds and how it has been dramatically altered by the rise in cryptocurrency. The course will open with a historical overview of applicable regulation including the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Company Act, the Investment Advisers Act, the Dodd-Frank Ac... More Info

    $55
    1.6General Credits
  • Defining Antitrust Markets in Platform Industries

    Designed to update generalists, anti-trust practitioners and inside counsel on the lower courts’ interpretation and application of Ohio v. American Express as it relates to defining antitrust markets involving platforms, this informative CLE course offers a brief but high level overview of antitrust law in the US. Taking into account the impact of the Supreme Court decision in this landmark case and the degree to which platforms have occupied the antitrust spotlight, the course will review the... More Info

    $29
    1.2General Credits
  • Understanding Asset Protection

    Learn how to protect yourself from the effects of lawsuits through personal asset protection. This CLE course will offer an in-depth guide for protecting your personal wealth including a basic history, exemption status under federal and state law, risk analysis and definitions. The course will also delve into protections for different types of assets such as physical and real asset, liquid, domestic, offshore and others. Protection tools such as Limited Liability Companies, Family Limi... More Info

    $55
    1.6General Credits
  • Overview of FinTech Regulation and Compliance

    Companies that utilize new technology to automate and improve the delivery of financial services, known as FinTech, face many challenges. This CLE course will explain the core principles and regulatory issues in the US which govern the primary aspect of financial services such as funds, securities, money transition, commodities, anti-money laundering and even basic banking. The course is primarily geared to attorneys, but anyone interested in FinTech has a lot to gain. More Info

    $29
    1.1General Credits
  • Turnkey Real Estate Investments as Securities

    Turnkey real estate investments are growing in popularity for promoters and investors across the United States. But are they really just vanilla real estate deals, or a security in disguise? This CLE course will clarify turnkey investments as they relate to real estate, securities and general practitioners. More Info

    $29
    1.2General Credits
  • Consolidated Audit Trail

    Compliance with a consolidated audit trail requires attention and preparation. This CLE course will explain how to properly and effectively prepare for compliance with the consolidated audit trail (CAT) and will include a discussion of deadlines, useful resources, and firm obligations. The course will also offer an update on the CAT National Market System (NMS) Plan. A review of test release updates, and information on upcoming dates worth noting will be included. More Info

    $29
    0.9General Credit
  • Enforcement Developments

    This CLE course will explain recent updates and developments in enforcement. The course will focus on enforcement priorities and how an issue might find its way to enforcement and the process it undergoes including regulatory and compliance practices. The course will also present important decisions and settlements that offer insight into the process and illustrate the priorities of FINRA. More Info

    $29
    1General Credit
  • Regulation Best Interest and Form CRS: Recent Observations and What to Expect

    This CLE course will explain the new Regulation Best Interest (Reg BI) and Form CRS (client relationship summary) rules and the requirements of compliance. The course will explain how firms are complying with these rules, the examination process, tips, strategies and helpful resources to help with current and future compliance issues. The course will present some of the challenges firms may face in reconciling Reg Bi and Form CRS delivery as well as best practices for supervisi... More Info

    $29
    1General Credit
  • Doing More With Less: Challenges of a Small Firm Compliance Department

    This CLE course will explain how to mitigate regulatory risk while simultaneously fulfilling your duties as officers of the firm. The course will explain how to create a fiscally responsible compliance program and how to ensure commitment to its policies. Presented by FINRA staff and industry practitioners, the course will explain both how to assess and avoid potential risk situations as well as allocate resources for the establishment of a compliance program. The course will cover iss... More Info

    $29
    0.9General Credit
  • FINRA’s Examination and Risk Monitoring Program

    A firm grouping structure and the process of implementing it are fraught with issues. This CLE course will explain the lessons learned during this process and what firms can expect in the future. The course will explain how to understand new organizational structures in the exam, specialist and risk monitoring programs and review risk monitoring activities. The course will present what expectations you should have form the exam program and planning process and provide informati... More Info

    $29
    1General Credit
  • Fraud Detection and Prevention

    Even fraud has fashion trends. This CLE course will present recent or noteworthy fraud cases and how these trends impact the financial services industry. The course will focus on frauds that impact the brokerage industry, offer strategies for identifying problematic situations and explain the procedures to follow when fraud is suspected. The course will ensure you understand emerging trends, particularly in the pandemic environment, explain how to identify elder abuse and how to protec... More Info

    $29
    1General Credit
  • Gamification, Social Media, and Digital Communications Perspectives

    Gamification and social media have the potential to capture investors’ attention and influence their behavior. This CLE course will explain FINRA’s view on the dynamic world of digital communications as well as the risks and benefits of gamification features on broker-dealers’ apps and websites. The course will consider the impact on notifications and alerts, digital marketing and the impact of social media, particularly during the pandemic and beyond. The course will explain h... More Info

    $29
    1General Credit
  • Market Regulation Priorities

    Current regulations and new rules have shifted market regulation priorities. This CLE course will offer an update on recent initiatives and rules and how they impact the priorities of today. The course will be presented by FINRA panelists who will offer insights on equities, options and fixed income compliance programs. The course will also review FINRA’s Market Regulation Examination priorities and summarize recent disciplinary actions as they relate to fixed income, equities and opti... More Info

    $29
    1General Credit
  • Remote Supervision: Compliance Challenges in a Remote Working World

    Day-to-day operations in firms all over the world were severely disrupted by the COVID-19 pandemic. With the majority of staff working remotely, supervisory practices were completely overhauled. The CLE course, presented by FINRA staff and industry specialists, will present the many challenges firms face with remote work and how we can all learn from these experiences to improve our Business Continuity Plans (BCP’s). More Info

    $29
    1General Credit
  • Cryptocurrency Primer: What They Are, How They Work, Their History, and Their Future

    Cryptocurrency is a complex area at the intersection of finance and law. This CLE course will explain cryptocurrency and its history as well as specific types such as Bitcoin and the origins of the various types. The course will explain digital tokens, governmental classifications and a look into the future of cryptocurrency. Issues of legality, constitutionality, and relationship to the gold standard and other valuations will all be discussed. More Info

    $29
    1.3General Credits
  • Venture Capital Funds: Formation, Terms, Issues Encountered, and Other Practice Tips for Counsel

    Venture capital has made it possible for many young companies to grow into major corporations. By providing extensive financial and advisory support, they manage to accomplish these goals while sparing them from the scrutiny and disclosure requirements of the public market. Familiarity with the inner workings of capital funds as well as the various concerns they face such as regulatory issues are critical for attorneys. This CLE course will present an overview of venture capital funds... More Info

    $29
    1.4General Credits
  • Purchase Or Sale Of A Business, Or Part Of A Business: Documents Boot Camp

    The purchase or sale of businesses or ownership interest in a business require a tremendous number of documents. The primary ones include Asset Purchase Agreements, Stock Purchase Agreements and Membership Interest Purchase Agreements. This CLE course will explain and provide samples of all of these documents and others and explain when they should be implemented. Other documents to be explained include: Letters of Intent, Non-Disclosure Agreements, Authorizing Resolutions, Lien Search... More Info

    $81
    2.6General Credits
  • The Basics of Blockchain and Cryptocurrency in Estate Planning

    The Bitcoin network came into existence in 2009 and since then, internet currencies have made incredible strides. Their credibility is such that cryptocurrencies are accepted as secure forms of payment, they can be digitally stored and do not require a bank or middleman. This CLE course will present the fundamentals of cryptocurrency and how they may be a factor in your estate planning. More Info

    $29
    1.1General Credits
  • SPAC IPOs: Hotter Than Ever and How They Work With Forms

    A Special Purpose Acquisition (SPAC) requires special consideration. This CLE course will explain how to formulate, file and implement a public offering for an SPAC. Insights, strategies and examples will be used to illustrate the SPAC process. Presented by nationally-recognized and widely published attorney Dan Brecher, who has appeared on CNN, CNBC and countless others, the course will apply to attorneys who represent any type of business entity. More Info

    $55
    1.6General Credits
  • Guiding Witnesses Through The Minefield of FINRA On-The-Record Interviews (OTRs)

    On-the-record interviews (OTR’s) are a key technique for Financial Industry Regulatory Authority investigations. This CLE course will explain FINRA’s OTR methodologies and how to best prepare to represent witnesses during these types of proceedings. The course will explain the overall goals of FINRA as well as provide goals for witnesses as well as strategies for what they should avoid. More Info

    $29
    1.1General Credits
  • Disclosure Innovations and Digital Marketing Compliance

    With the recent publication of FINRA”s Regulatory Notice 19-31 concerning Disclosure Innovations in Advertising and Other Communications with the Public, even seasoned attorneys need an update. This CLE course will offer insights by industry and FINRA experts on how firms can facilitate simpler and more effective disclosure in digital marketing and other forms of advertising. Presenters will review how firms are using technology to transform their customer interactions within the compliance ru... More Info

    $29
    1General Credit
  • 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

    $29
    0.8General Credit
  • RegTech in Advertising and Compliance and Beyond

    Regulatory Technology or RegTech has become the newest greatest development in regulatory compliance. This CLE course will explain the technological innovations being applies to creating efficient, effective risk-based compliance programs for communications with the public. How these tools are helping address new challenges and implications of supervision, vendor management, data privacy, and security. The course will provide a comprehensive understanding of RegTech, FinTech and data in financ... More Info

    $29
    1General Credit
  • Advertising Compliance Boot Camp: Fundamentals of FINRA Rule 2210

    For those new to FINRA’s advertising rules, there is a great deal to absorb. This CLE course will offer a complete overview on FINRA Rule 2210 – Communications with the Public. The course will explain filing requirements and exemptions, record-keeping requirements, internal supervision and approval and content standards. Applicability to financial services communications and marketing materials as well as strategies for submitting communications for review to the Advertising Regulation Departm... More Info

    $29
    1General Credit
  • General Brokerage and Supervision

    In this instructive CLE course, FINRA staff and industry practitioners will review advertising compliance and sales practice as applicable to general brokerage firms as well as their registered representatives. Advertising compliance challenges and methodologies for addressing advertising rules as they relate to creating marketing materials, supervisions, dual registered representatives, radio shows and seminars will be addressed as well as issues such as private placements and consolidated re... More Info

    $29
    1General Credit
  • 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

    $29
    1.4General Credits
  • Common Examination Findings for Institutional Firms: 2019-2020 Update

    Institutional business activities require supervisory controls in order to mitigate a variety of risks. This CLE course will explain the primary regulations and recommended strategies for implementing these controls as well as managing tools. The course will explain how to implement the debt research rule, institute informational barriers, define and discuss customer indications of interest and explain common concerns regarding conflicts clearance. More Info

    $29
    1General Credit
  • Complex Products and Alternative Investments

    The sale of alternative investments include no small amount of due diligence obligations and effective practices. These include, but are not limited to, Private Placements, Regulation A+, Online Distribution Platforms, Opportunity Zone Funds Finders, Real Estate Investment Trusts, Blind Pools and Capital Acquisition Brokers. This CLE course, presented by FINRA staff and industry experts, will identify compliance risks of various securities products and how to implement training, supervision, s... More Info

    $29
    1General Credit
  • Enforcement Initiatives, Developments and Priorities: 2019-2020 Update

    Enforcement trends and developments, priorities and principles that determine decision-making will all be discussed in this illustrative CLE course which utilizes real-life cases as examples. The course will provide guidance on compliance and regulatory practices and how to navigate enforcement investigations and the disciplinary process. The course will help you obtain a firm grasp on the key principles that guide enforcement outcomes including customer restitution, tips for effective respons... More Info

    $29
    1General Credit
  • FINRA’s Suitability Rule and SEC’s Proposed Regulation Best Interest

    This CLE course will provide practical advice on how firms and registered representatives can better assess customers and securities in order to comply with suitability obligations as set down by FINRA Suitability Rule 2111 and the SEC’s Proposed Regulation Best Interest Rule. The course will explain the distinction between the two and explain how to prepare and comply with suitability obligations. More Info

    $29
    1General Credit
  • High-Risk Activity Impacting Retail Investors

    Risk evaluation is critical in assessing potential liability. This CLE course, presented by FINRA staff, will provide the necessary insight to identify and assess high risk activity amongst representatives. The course will explain how that risk can be mitigated as early as the hiring process, include risk assessment as part of ongoing supervision and how the data accumulated can be utilized broadly. Using real-life example, the course will provide practical strategies for addressing high risk ac... More Info

    $29
    1General Credit
  • How FINRA Rules Get Made, Reviewed and Updated

    How a rule becomes a regulation and other fascinating insights into the FINRA Retrospective Rule Review process will be presented in this comprehensive CLE course. The course will explain upcoming rule changes, regulatory initiatives and how the advisory committees are used in this regard. Providing the necessary information to establish effective rules and practices with regards to the new regulatory rules, the course will also guide you in managing associated risks and identifying opportuni... More Info

    $29
    1General 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

    $29
    1General Credit
  • Reviewing Recent Enforcement and Regulatory Actions to Manage AML Risks

    Assessment of AML programs for potential pitfalls and vulnerability is critical for firms. This CLE course, presented by FINRA staff and industry experts, will explain regulatory trends and enforcement actions including those by the SEC and other agencies and criminal and governmental authorities. Methods to mitigate risk, due diligence tips and recent trends, including those involving crypto-currency will all be presented. More Info

    $29
    1General Credit
  • Emerging FinTech Trends: 2019-2020 Update

    Recent developments in the FinTech – financial technology – are wreaking havoc on the securities industry. This CLE course, presented by FINRA staff and industry representatives, will discuss these developments particularly in the fields of artificial intelligence, identity authentication tools and big data/cloud computing. The course will explain how these changes are and should be addressed as well as compare the regulatory risks that should be considered in investing. More Info

    $29
    1General Credit
  • Outside Business Activities and Private Securities Transactions: 2019-2020 Update

    There are a variety of conflicts of interests that may, and often do, arise as a result of regulatory and examination priorities such as outside business activities (OBA) and private security transactions (PST’s). This CLE course, presented by FINRA staff and industry practitioners, will explain how to understand and mitigate these conflicts as well as comply with regulatory requirements. The course will explain how to handle situations of dually registered advisors and understand the many chal... More Info

    $29
    1General Credit
  • Social Media and Digital Communications: 2019-2020

    This CLE course will explain how to stay updated in the ever-evolving world of digital marketing and communications. The course will explain how to define digital marketing and digital communication as well as discuss various app based messaging services and social media both within a firm and outside of it. A discussion of how to approach these forms of communication as well as handle video and podcast content and explain regulatory guidance for these services and information will all be explai... More Info

    $29
    1General 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

    $29
    1General 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

    $29
    1General Credit
  • Common Examination Findings and Effective Compliance Practices

    FINRA cycle examinations can be nerve-wracking. Be prepared with this comprehensive CLE course on the most deficiencies noted during examinations and best practices for taking corrective action and updating compliance procedures. The course will discuss the most common findings in regulatory areas, identify controls and processes to address deficiencies and evaluate regulatory areas that require attention. More Info

    $29
    1General Credit
  • Common Examination Findings and Effective Compliance Practices (Medium and Large Firm Focus)

    Focused specifically on medium and large firms, this CLE course addresses common deficiencies uncovered FINRA examination and proactive measures that can be taken in response to exam recommendations. Senior staff explain the exam process, how to facilitate it and best practices when undergoing the process. The course will explain techniques to strengthen the current compliance program and prepare for your next examination. More Info

    $29
    1General Credit
  • Effective Processes for Suspicious Activity Monitoring and Investigations

    This fascinating and timely CLE course provides guidance on suspicious activity monitoring and investigations in anti-money laundering. Panelists will provide a firm understanding of the AML regulations and program requirements, best practices for identifying and reporting suspicious activity, evaluate firm procedures and stay updated on AML regulations expectations. More Info

    $29
    1General Credit
  • 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

    $29
    1General Credit
  • Implementing a Risk-Based Program and Identifying Red Flags

    Designed to provide insight on implementing an effective risk-based branch office inspection office, this CLE course will explain FINRA’s Member Regulation Department approach to executed examinations, provide strategies for preparing for and learning from exams and explain how FINRA uses tools and technology to support and modernize the risk-based examination framework. More Info

    $29
    1General Credit
  • Suitability, Supervision and Surveillance

    Panelists for this CLE course will present key issues regarding compliance with the suitability rule and provide advice on how firms and registered representatives can better analyze customers in order to do so. The course will discuss industry trends and how they intersect with suitability requirements such as senior customers, IRA rollovers, concentration levels, online recommendations and sales of complex products. The panelists will compare and contrast how broker-dealers use different busin... More Info

    $29
    1General 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

    $29
    1General Credit
  • Detecting, Preventing and Investigating Fraud and Misappropriation

    Regulators on the front lines of securities fraud offer information on current fraud schemes and potential threats in this riveting CLE course. The course will explain how to identify potential dangers associated with financial fraud and who to turn to when you suspect fraud. More Info

    $29
    1General Credit
  • The Three Lines of Defense: Risk Management Supervision, Compliance and Internal Audit

    Compliance professionals face a myriad of challenges as the separation of business and compliance supervision roles becomes more complicated. In the CLE course, FINRA staff will be joined by industry practitioners to discuss how firms are re-defining the rules of supervisors and compliance personnel and the three lines of defense and their application to the risk model. The course will compare the first two lines of defense and explain how firms can create a culture of compliance. More Info

    $29
    1General Credit
  • Working Together to Protect Senior Investors

    The senior citizen demographic grows each year and planning for the later stages in life has taken on new urgency as the population lives longer. This CLE course, joined by representatives from regulatory agencies, is designed to help you address the needs and concerns of seniors and soon-to-be seniors including diminished capacity, protection from financial abuse and other issues. The course will explain how to handle calls from seniors, plan for the possibility of cognitive impairment, importa... More Info

    $29
    1General Credit
  • Raising Capital in the Internet Age: The Current State of Crowdfunding

    With new regulations governing Internet fundraising being passed in an industry that is still developing, the newest information is critical. This CLE course will review all the recent crowdfunding regulations including Title III of the JOBS Act. The Act, which joins two prior regulations, permits a person or company to offer securities over the Internet for up to $1 million in a 12 month period. Previous regulations revolve around equity offerings and taken together, the new rules make it vastl... More Info

    $29
    1.3General Credits
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