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-Demand
    CD/DVD/USB, Online, iOS/Android App

    Challenges Facing Firms in Monitoring AML and Protecting Against Fraudulent Activities

    This CLE program reviews challenges facing firms in monitoring and protecting against fraudulent activities. Join FINRA staff and industry panelists as they provide examples of effective controls their firms have put into place to address AML risks. After attending this session, you will be able to: Review AML and Fraud Protection Red Flags and Effective Practices Discuss monitoring for high-risk suspicious activities Discuss policies, procedures, controls, and education that bridg... More Info

    $50
    1General Credit
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    Communications Compliance: Current Developments

    This CLE program will discuss current communications compliance and marketing practices. Topics include recent guidance on how FINRA’s communications rules apply in a virtual environment, and how firms can communicate compliantly about ESG and other current investment trends. Panelists will also talk about the regulatory implications of complex products and services such as crypto assets and emerging technologies in the marketing compliance space. After attending this session, you... More Info

    $50
    1General Credit
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    Conflicts of Interest in Capital Markets and Investment Banking

    This CLE program will discuss helpful tips and tools for managing conflicts of interest in capital markets and investment banking firms. Panelists will discuss practices that raise conflict of interest concerns and how to remedy these issues. After attending this session, you will be able to: Understand how some firms identify and mitigate risks associated with conflicts of interest Apply practical compliance approaches to mitigate and monitor for conflicts of interest Know of and... More Info

    $50
    1General Credit
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    Considerations and Practices for Supervising Independent Contractors

    This CLE program addresses common challenges in supervising independent contractors. The session offers examples and suggestions for firms to use in their everyday supervision and compliance efforts. The panel also discusses existing rules and related guidance and shares effective industry practices. After attending this session, you will be able to: Understand the challenges associated with supervising independent contractors Identify effective practices for supervision and o... More Info

    $50
    1General Credit
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    Consolidated Audit Trail

    During this session, panelists discuss how to prepare for compliance with the consolidated audit trail (CAT), including firm obligations, deadlines and resources. After attending this session, you will be able to: Discuss upcoming key dates How to prepare and resources available More Info

    $50
    1General Credit
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    Gamification, Mobile Apps and Digital Engagement

    Panelists share insights into the developing world of digital engagement practices, including gamification, in broker dealers’ mobile apps, marketing, and online platforms. Attend this session to hear how compliance and regulatory experts are responding to the rapidly developing use of data analytics to drive digital communications. Panelists discuss risks and benefits of digital engagement features and how to supervise them effectively. After attending this session, you will be... More Info

    $50
    1General Credit
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    Hot Topics in Municipal Securities and Other Fixed Income

    FINRA and MSRB staff discuss recent enforcement actions related to municipal securities (e.g., 529 Plans, municipal short positions), examination priorities, fixed income-related rulemaking, and common problems uncovered during Member Supervision and Market Regulation reviews. After attending this session, you will be able to: Review recent enforcement actions on 529s and muni shorts Discuss topics related to municipal securities Discuss recent and ongoing regulatory initiatives More Info

    $50
    1General Credit
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    Market Structure: What Factors Are Driving Changes

    During this session, FINRA staff and industry practitioners discuss current developments and future trends in the industry, including best execution guidance and payment for order flow issues. After attending this session, you will be able to: Understand Best Execution guidance Discuss effective practices for reviewing and documenting best execution Discuss technology available to process trades More Info

    $50
    1General Credit
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    Remote Supervision

    Join FINRA staff and industry panelists as they discuss what they have learned from working remotely. During the session, panelists discuss effective controls, procedures, and processes that member firms are incorporating to address supervision in a remote work environment. After attending this session, you will be able to: Identify controls, procedures, and processes that member firms are incorporating to address supervision in a remote work environment Review lessons learned and... More Info

    $50
    1General Credit
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    Restricted Firm Obligations: What You Need to Know

    Join FINRA staff as they discuss Rule 4111 (Restricted Firm Obligations). During the session, panelists review the new obligation and criteria for identification. After attending this session, you will be able to: Review new obligations Identify controls, procedures, and processes that member firms are incorporating to address these obligations Review identification metrics thresholds Discuss restricted deposit accounts More Info

    $50
    1General Credit

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