Pennsylvania CLE - On-Demand Courses
CLE Courses Available on DVDs, Audio CDs, USB Stick, Online & iOS/Android App and Live Webinars!
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On-DemandCD/DVD/USB, Online, iOS/Android App
Effective Practices in Remote Supervision and Inspections
This CLE course explores the legal and regulatory challenges emerging from the shift toward hybrid and remote work in the financial services industry. With updates to FINRA’s supervision rules enabling Remote Supervisory Locations (RSLs) and the Remote Inspection Pilot Program (RIPP), attorneys advising broker-dealers and compliance teams must understand the evolving expectations and associated legal risks. Participants will hear directly from FINRA staff and member firms about how the... More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
Financial Crimes: Getting Ahead of the Adversaries
As financial crimes evolve, staying ahead of emerging threats is essential. This CLE course explores recent fraud and money laundering trends impacting firms and markets, with a focus on actionable prevention and detection strategies. Key topics include: Highlights from the Annual Report’s Financial Crimes Prevention section, including investment fraud targeting retail investors, ACH fraud, AI-enabled schemes, and manipulative trading in small-cap IPOs New and emerging fraud tactics... More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
Financial Management Regulatory Developments
This CLE course provides legal professionals with a timely and in-depth review of the evolving regulatory landscape governing financial responsibility in the securities industry. Anchored in the key findings of the 2025 Regulatory Oversight Report, the session is designed to help attorneys understand both the practical and legal implications of recent and emerging developments affecting broker-dealers and financial institutions. Participants will examine core topics such as liquidity ri... More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
How to Use Data to Drive Effective Oversight
As data analytics become central to regulatory compliance, legal professionals must understand how firms use data to guide surveillance and oversight. This CLE session offers attorneys a practical look at how firms—large and small—are adopting risk-based, outcome-driven approaches to compliance through data. The course will discuss firm strategies, share FINRA’s latest intelligence resources (including contributions from StratIntel and the FIU), and explore how enhanced surveillance too... More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
Legal Risk and Regulatory Strategy: A Conversation with FINRA Senior Leaders
This CLE course, tailored for legal and compliance professionals in the financial industry, addresses key FINRA regulatory topics based on audience questions. It provides actionable insights to navigate the evolving regulatory landscape. What You Will Learn FINRA Forward Initiatives: Understand Rule Modernization, Empowering Compliance, and Cybersecurity/Fraud initiatives, and their impact on your firm. Capital Formation: Explore regulatory considerations for raising capital while ens... More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
Mitigating Impacts of Fraud and Scams Targeting Customers
As fraud schemes become more complex, legal professionals play a vital role in protecting investors and guiding firms through each stage of a fraud event. This CLE session offers a practical look at the full lifecycle of a fraud scheme—from investor targeting to post-incident recovery—and outlines legal strategies for effective response and prevention. This CLE course will cover how to identify common fraud tactics, engage with victims and outside parties, manage legal risks during a fr... More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
Trust Protectors: The Good, The Bad and The Ugly
This CLE course will provide a detailed analysis of the use of Trust Protectors nationally, and an overview of states that provide statutory authority for same. In this session, you will learn: Why should you use Trust Protectors? Why should you not use Trust Protectors? What powers are typically conferred on Trust Protectors? The session will also contain a review of case law highlighting some of the problems and pitfalls encountered by persons who have served as Trust Pro... More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
Filing a Case Under the United States False Claims Act
This CLE course delves into the intricacies of whistleblower rights and remedies under the False Claims Act (FCA), offering a comprehensive guide for attorneys, compliance officers, and professionals in federal contracting. Participants will explore the robust protections afforded to whistleblowers who uncover fraudulent practices, alongside practical insights into navigating the FCA framework. The presentation equips attendees with foundational knowledge to effectively draft and file... More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
Mastering Discovery: Avoiding Common Pitfalls Under the Federal Rules of Civil Procedure
The Federal Rules of Civil Procedure are intended to make it easier for litigants and courts to reach the merits of cases. That principle extends to the rules governing discovery. If used fairly, those rules (Rules 26 through 37) can help litigants figure out what evidence opposing parties intend to offer to support their claims or defenses. Yet litigators routinely respond to discovery requests by trying to fling every possible objection at them, and then continuing with some magic fo... More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
A Deep Dive into Trusts: What You Need to Be Aware Of
Unlock the power of trusts in estate planning with this comprehensive CLE course. Designed for attorneys advising clients on asset management, wealth preservation, and legacy planning, this presentation explores the essential role trusts play in providing financial security, minimizing family disputes, and preparing for incapacity. Dive into the core principles of trust law, gain clarity on the distinctions between revocable and irrevocable trusts, and evaluate the strategic advantages... More Info
$501General Credit