Indiana CLE - All Courses
This is a listing of 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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Developments in Remote Supervision
This CLE course will explore the latest remote supervision developments including the remote inspection pilot program, amendments to supervision rules to cover Residential Supervisory Locations and risk-based supervision best practices. This session will discuss: Sunsetting of current COVID relief, and the implementation of Rules 3110.18 and 3110.19 How to functionally report residential locations and RSLs in Firm Gateway Remote supervision best practices and considerations FAQs fo... More Info
$501General Credit -
Fixed Income Securities Regulatory Outlook
This CLE session addresses the latest regulatory focuses related to both fixed income and municipal securities, including Time of Trade disclosures, SEA Rule 15c2-11, and considerations firms should keep in mind with respect to exam priorities, findings, and enforcement actions. This session will discuss: Updates to SEA Rule 15c2-11 Time of Trade Disclosures, including Municipal Fund Securities and Market Discount Transaction Reporting Municipal short closeouts/ possession and co... More Info
$501General Credit -
Modernizing Off-Channel Communications Supervision
Join panelists as they discuss observations from thematic reviews of off-channel communications such as text and social media platforms and effective techniques firms are using to provide oversight of their firms’ communications. This session will discuss: Communications Landscape Rule Requirements--Books and Records, Communications with the Public, and Supervision SEC and FINRA Enforcement Actions Observations from Thematic Reviews of Off-Channel Communications OSE-Facilitated Comm... More Info
$501General Credit -
Promoting Market Integrity: FINRA’s Role in Market Structure
Hear regulatory and industry perspectives on FINRA’s role in promoting market integrity and on the new and evolving rules such as current market structure proposals, securities lending and how transparency initiatives are shaping the market. This CLE discusses: New and emerging rules SEC market structure proposals, securities lending, and other transparency initiatives More Info
$501General Credit -
Technology Governance: Mitigating Risk Throughout the Vendor Lifecycle
This CLE course dives into factors firms should consider when outsourcing activities or functions to third-party providers. Hear from panelists as they discuss how to mitigate vendor risk with strong technology governance programs that encompass the lifecycle of vendor engagement, from onboarding, performing ongoing due diligence, responding to events, and offboarding. This session will discuss: Vendor Management and Due Diligence Regulatory Notice 21-29 (FINRA Reminds Firms of their... More Info
$501General Credit -
The Plaintiff Fact Sheet (“PFS”) in a Mass Tort Setting
The Plaintiff Fact Sheet (PFS) is a written questionnaire which takes the place of non-negotiated interrogatories, or written questions, and is typically served in Mass Tort litigation. In a Mass Tort case, the Parties negotiate the questions to be asked on the PFS questionnaires. The Defendants are entitled to ask questions in a PFS that provides both basic information about the claimant (date of birth, marital status) and specific information (date of injury, type of injury, name... More Info
$501.2General Credits -
The Progression of Regulation Best Interest and Form CRS
During this CLE session, panelists discuss recent observations on firm adherence to Regulation Best Interest and Form CRS and share guidance on Reasonably Available Alternatives, the Care Obligation, and Conflicts of Interest. This session will discuss: Actions: Recent SEC and FINRA findings in Reg BI and Form CRS Interpretation, guidance and best practices: Recent SEC and FINRA findings in Reg BI and Form CRS Reg Notice 23-20 Form CRS FAQs Reasonably Available Alter... More Info
$501General Credit -
Winning Strategies for Soft Tissue Injuries
Winning Jury Trial Strategies for Soft Tissue Injury in Car Crash cases: This program will concentrate on the most successful methods on achieving great results on soft tissue sprain/strain types of injuries in crash cases. The program will summarize these winning strategies from the starting point of Voir Dire to the ending point of Closing Argument. More Info
$501General Credit -
The Mediator's Toolkit: 15 Strategies Towards A Successful Mediation
Mediation has been called an art and not a science. It is true that there is not one specific way to conduct a mediation. However, there are tried-and-true methods for facilitating a successful mediation. That success will be determined by the attainment of Win-Win by both parties. This CLE program will outline and discuss strategies that ensure that the mediation will be dignified and productive. Many of these strategies can be used in non-mediation circumstance such as negotiations,... More Info
$501.3General Credits -
Conflicts of Interest in the Financial Services Industry: What Every Attorney Needs to Know
Do you refer clients to financial advisers? Lawyers need to understand the regulatory framework that distinguishes financial advisers, particularly in light of new (2020) disclosure documents (Form CRS). In this program, we will cover how financial advisers are regulated; how standards of care differ; how to recognize potential conflicts of interest that can affect the adviser-client relationship; and most importantly, how new SEC disclosure tools make your due diligence process easie... More Info
$501General Credit