Pennsylvania CLE - Finance and Banking Courses
This is a listing of Finance and Banking CLE Courses for Pennsylvania. Please make your selection below of Pennsylvania 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.
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
Complex Products and Alternative Investments
This CLE will focus on the latest regulatory updates and due diligence obligations and effective practices in connection with sales of alternative investments; including: Private Placements, Online Distribution Platforms, Finders, Real Estate Investment Trusts, Opportunity Zone Funds, Regulation A+, Blind Pools and Capital Acquisition Brokers. Join FINRA staff and industry experts as they identify features and compliance risks of specific securities products and how to implement effect... More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
FINRA’s Suitability Rule and SEC’s Proposed Regulation Best Interest
This CLE program will focus on the key issues regarding FINRA’s suitability Rule 2111 and the SEC’s Proposed Regulation Best Interest Rule, including a review of their differences. Panelists provide practical advice on how firms and registered representatives can better understand customers and securities in order to comply with FINRA’s suitability obligations and prepare for the SEC’s proposed Regulation Best Interest Rule. More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
High-Risk Activity Impacting Retail Investors
Join FINRA staff as they share helpful insight on identifying and assessing activity of registered representatives as high risk and how that intelligence can be more broadly used to assess risk across and within branch offices. Upon completion, you will be able to: Learn effective practices for identifying and mitigating risk in the hiring process. Summarize ways to identify indications of high-risk activity as part of ongoing supervision, and ways to mitigate such risk, including heightene... More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
How FINRA Rules Get Made, Reviewed and Updated
Join FINRA staff and industry experts as they explain how a FINRA rule becomes a regulation. Panelists give an inside look into how the FINRA Retrospective Rule Review process works and how rules are selected for review. Panelists will also preview and discuss upcoming rule changes, proposals and other regulatory initiatives. Upon completion of this CLE program you will be able to: Discuss the Retrospective Rule Review Process; Review how the advisory committees are used; Identify and under... More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
Mark-Up Disclosure Requirements
This CLE focuses on FINRA and MSRB mark-up disclosure requirements. Panelists discuss securities covered by the rule, when mark-up disclosure requirements are triggered and recent guidance on how to calculate mark-ups based on prevailing market price. Panelists share their perspectives on effective practices and helpful tips they have identified. Upon completion of this CLE program you will be able to: discuss the latest MSRB guidance concerning mark-up disclosure requirements. More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
Reviewing Recent Enforcement and Regulatory Actions to Manage AML Risks
Join FINRA staff and industry experts as they review legal cases and enforcement actions impacting AML programs. Panelists will cover regulatory trends, potential vulnerabilities, and how you can address any pitfalls in your AML program. Upon completion of this CLE, you will be able to: Discuss recent AML enforcement actions published by FINRA, the SEC (Securities and Exchange Commission) and other regulatory agencies, criminal and governmental authorities. Discuss various methods... More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
Social Media and Digital Communications: 2019-2020
This CLE program will focus on the rapidly changing world of digital marketing and communications. The panel will cover a variety of topics, which will illustrate how to stay on top of this constantly evolving area. Upon completion of this CLE, you will be able to: Describe digital marketing and digital communications; Talk about instant, text and app-based messages in your firm; Discuss how to approach social media, both external and internal to your firm; Summarize how to handle video cont... More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
Regulation of Banks in the U.S.
This CLE course focuses on the regulation of banks in the U.S. It covers the significant bank regulatory laws from the Great Depression to the 2010 Dodd Frank Act, as well as both federal and state regulatory agencies having jurisdiction over banks. It also discusses various regulatory compliance requirements, including anti-money laundering and several Dodd Frank Act requirements; trends in governmental enforcement actions against banks; the recurring cycles of de-regulation resulting in fina... More Info
$501General Credit -
On-DemandCDs, DVDs, USB Stick
What Lawyers Need to Know About Cryptocurrency & Blockchain
This CLE program will explore the rapidly evolving hype and reality of blockchain technology, including recent legal developments and how to advise your clients. The following topics will be covered: data security, privacy, intellectual property and ownership, monetization of data, regulation, product liability, automated contracts, IoT advocacy, application program interfaces and ethical issues involved in data collection and sharing. Highlights of the Program include: The Internet of Th... More Info
$1502.5General Credits -
On-DemandCD/DVD/USB, Online, iOS/Android App
The Law of Bank Payments
This CLE course will discuss various issues concerning payments made by or through banks. Covered are laws concerning check and wire transfer payments made by and to consumers and businesses. Discussed are claims concerning such payments made against banks, and various bank defenses applicable to such claims. Also discussed are laws concerning payments collected through the Federal Reserve Banks and government regulation of payments concerning internet gambling. More Info
$1252.5General Credits