Securities Law Bundle - Indiana CLE

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 permanently removing the cap on distance education in Indiana.

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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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36.3
Credit Hours
of CLE Lectures
  • 7.8 Ethics
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Only $349
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Courses priced individually at $1,054
  • 7.8 Ethics

Securities Law Bundle Includes:

  • $55

    The Regulation of Private and Foreign Funds in the Age of Cryptocurrency

    General Credits: 1.6

    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...

  • $29

    Guiding Witnesses Through The Minefield of FINRA On-The-Record Interviews (OTRs)

    General Credits: 1.1

    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 FINR...

  • $29

    Corporate Philanthropy: Where to Start and How to Get it Right

    General Credits: 1.2

    Philanthropic initiatives by companies have become almost expected in recent years. Corporate Social Responsibility has made it almost impossible to avoid. But how can a company give back? This CLE course will present the different program options available to companies, taking into account complia...

  • $34

    An Ethical Guide to Expert Witness Reports & Testimony

    Ethics Credits: 1.2

    Litigating construction lawsuits are adversarial processes at their core. Yet the American Bar Association has nevertheless established Model Rules of Professional Conduct, offering guidance for lawyers’ conduct in the course of “seek[ing] a result advantageous to its client but consistent with req...

  • $55

    International Joint Ventures: Problems, Solutions and Approaches

    General Credits: 1.7

    The legal issues surrounding cross-border joint ventures (JVs) can be somewhat complex. This CLE course will address all the basics such as purpose, management, governance and capital contributions. The course will also cover veto rights, profit distributions, transfer restrictions, minority pr...

  • $34

    Ethical Attorney's Fees, Referral Fees, and Billing Practices

    Ethics Credits: 1

    Ethics rules for attorneys are well-known, but not necessarily well understood. Whether we are talking about lawyer fees, referral fee requirements and fee sharing, non-refundable payments and all issues related to costs and settlements, the lawyer Trust Account Rules offer guidelines that every at...

  • $95

    Third Annual Litigation Ethics Summit

    Ethics Credits: 3

    Even under normal circumstances, the application of ethics during litigation is challenging. But during times of upheaval, with a downward pressure on fees it becomes even more difficult. The current work from home environment also contributes, adding to compliance risk. Where’s the line between ly...

  • $29

    No One Makes It Out Unscathed: The Effects of Trauma, Stress and Burnout On Our Lives

    General Credits: 1

    Stress is a component of any attorneys’ day to day life. And ignoring it won’t make it go away. Shrug it off and the results can be catastrophic for you, your family and your business. Trauma, less discussed but not rarer, also requires immediate attention. Whether it is a direct trauma such as a p...

  • $34

    Avoiding and Responding to State Bar Inquiries

    Ethics Credits: 1.4

    The most common ethical missteps are often the most avoidable. Utilizing a variety of risk management tools, practitioners can learn which conduct and practices typically draw the attention of bar prosecutors or clients in order to avoid these potential pitfalls. This CLE course will identify a...

  • $29

    Overview of FinTech Regulation and Compliance

    General Credits: 1.1

    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, securit...

  • $34

    Home is Where The License Is: Ethical Considerations for Lawyer Relocation During and After the Pandemic

    Ethics Credits: 1.2

    COVID-19 motivated many lawyers to relocate, work remotely, and avoid perceived risk. This CLE course will assess the legal and ethical ramifications of relocation, particularly to states beyond where you might be licensed. The course will address authorization to practice, jurisdiction and cho...

  • $29

    The Basics of Blockchain and Cryptocurrency in Estate Planning

    General Credits: 1.1

    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 presen...

  • $81

    Purchase Or Sale Of A Business, Or Part Of A Business: Documents Boot Camp

    General Credits: 2.6

    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...

  • $29

    Turnkey Real Estate Investments as Securities

    General Credits: 1.2

    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 prac...

  • $29

    Consolidated Audit Trail

    General Credits: 0.9

    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 cour...

  • $29

    Regulation Best Interest and Form CRS: Recent Observations and What to Expect

    General Credits: 1

    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 w...

  • $29

    Enforcement Developments

    General Credits: 1

    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 deci...

  • $29

    Gamification, Social Media, and Digital Communications Perspectives

    General Credits: 1

    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....

  • $29

    Remote Supervision: Compliance Challenges in a Remote Working World

    General Credits: 1

    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...

  • $29

    FINRA’s Examination and Risk Monitoring Program

    General Credits: 1

    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...

  • $29

    Doing More With Less: Challenges of a Small Firm Compliance Department

    General Credits: 0.9

    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 p...

  • $29

    Fraud Detection and Prevention

    General Credits: 1

    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 proce...

  • $29

    Market Regulation Priorities

    General Credits: 1

    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 incom...

  • $29

    Defining Antitrust Markets in Platform Industries

    General Credits: 1.2

    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 antitrus...

  • $55

    Understanding Asset Protection

    General Credits: 1.6

    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...

  • $29

    Cryptocurrency Primer: What They Are, How They Work, Their History, and Their Future

    General Credits: 1.3

    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 t...

  • $29

    Venture Capital Funds: Formation, Terms, Issues Encountered, and Other Practice Tips for Counsel

    General Credits: 1.4

    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 inn...

  • $55

    SPAC IPOs: Hotter Than Ever and How They Work With Forms

    General Credits: 1.6

    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 publ...

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