Indiana Securities Law Bundle

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 NACLE’s accreditation details, please click here.

36 Credits
w/ 9.9 Ethics
Only $349
Courses Priced
Individually at $1,113

We have selected our most popular lectures and bundled them together into our Securities Law Bundle. This Bundle contains 36 Credit Hours of CLE Lectures including 3 Credit Hours of Ethics. *The Indiana Supreme Court has issued an order temporarily waiving the credit limitation for distance education until further notice. Attorneys with a CLE deadline on December 31, 2021 may complete all of their credits via online courses.

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 Re...
General Credits:1
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 regula...
General Credits:1
The area of attorney ethics seems to be in a constant state of flux with a steadily growing array of issues to worry about. This fascinating CLE course will cover the latest updates in legal ethics and a look ahead at what issues will arise in the c...
Ethics Credits:1.1
Even for the tech-savvy attorney, the hidden dangers of email, social media and cloud based platforms may be unknown or not fully understood. This CLE course will identify and explain the risks of these tools and platforms and offer suggested soluti...
Ethics Credits:1.5
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 toke...
General Credits:1.3
More and more, law firm retainers agreements have included advance conflict of interest waivers. In this comprehensive CLE course, leading ethics attorney Ronald Minkoff, who also heads the Professional Responsibility Group at Frankfurt Kurnit Klein...
Ethics Credits:1.1
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 requireme...
General Credits:1.4
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....
General Credits:1.6
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...
General Credits:1
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....
General Credits:1
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 id...
General Credits:1
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 learnin...
General Credits:1
Ethical guidelines are straightforward in principle, but when they need to apply to real-world litigation, it can become more complicated. Between the pressure applied by clients and that of the myriad malpractice cases compounded by the quick respon...
Ethics Credits:1.7
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 trend...
General Credits:1
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 commun...
General Credits:1
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 stand...
General Credits:0.8
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-keepi...
General Credits:1
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 FIN...
General Credits:1
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...
General Credits:1
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 faci...
General Credits:1
The practice of law involves interactions with a wide assortment of people from clients and opposing counsel to judges and courtroom staff. This CLE course will present the impact of civility on these interactions and how the rules of professional c...
Ethics Credits:1.4
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...
General Credits:1
Conducting your business honestly and with integrity are keys to success. Utilizing the Illinois Rules of Conduct as a framework, this informative CLE course examines the typical mistakes made by newer attorneys, how to preemptively prevent them and...
Ethics Credits:1.5
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 serv...
General Credits:1
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 artificia...
General Credits:1
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 b...
General Credits:1
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 co...
General Credits:1
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 ind...
General Credits:1
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 adv...
General Credits:1
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...
General Credits:1
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 ag...
General Credits:1
High-stakes litigation can often change the rules of the game. When the situation gets heated, attorneys may find their professional ethics at risk as an opponent’s advocacy of their client’s interest leads to obstructive behavior. This CLE course w...
Ethics Credits:1.6
36 Credits
w/ 9.9 Ethics
Only $349
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 NACLE’s accreditation details, please click here.