Indiana CLE - Securities Law Courses
This is a listing of Securities Law CLE Courses for Indiana. Please make your selection below of Indiana CLE courses. Click "Add To Cart" to purchase Individual CLE Courses. For more information about a particular CLE course, click on the "More Info" link. Click the "Preview" button to view a short preview of the course.
Indiana CLE
Accreditation Info
Courses purchased through UnitedCLE.com are provided and fully accredited by The National Academy of Continuing Legal Education, an Approved CLE Sponsor (106648) by the Indiana Commission For Continuing Legal Education. To view our full accreditation details please .
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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
$291General Credit
