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!
Instantly Print Your CLE Certificates
-
On-DemandCD/DVD/USB, Online, iOS/Android App
Follow the Money: Legal Pitfalls of Investing in Cannabis
This CLE course will provide a broad overview regarding the wealth of opportunities that exist when thinking about investing in the cannabis industry, including breakdowns and industry overviews with current trends in mergers and acquisitions. This is followed by a discussion of regulatory and other key issues for U.S. investor clients including banking, 280E, and lack of research. The course continues with information about investing in cannabis abroad with a special focus on Canada and the p... More Info
$1002General Credits -
On-DemandCD/DVD/USB, Online, iOS/Android App
Outside Business Activities and Private Securities Transactions
This CLE program will provide guidance on effective practices for monitoring outside business activities and supervising private securities transactions. FINRA panelists discuss common OBA deficiencies found during examinations. Panelists share effective practices regarding policies and procedures for identifying, documenting and disclosing OBAs. FINRA will also discuss the recently proposed rule changes related to OBAs and PSTs. After attending this session, you will be able to: Unde... More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
Common Examination Findings and Effective Compliance Practices
This CLE program will include a discussion of common deficiencies noted during FINRA cycle examinations. The program will also provide guidance on taking corrective action and updating compliance procedures and practices based on lessons learned from common exam deficiencies. After attending this session, you will be able to: Discuss common findings in various regulatory areas and related supervisory deficiencies. Identify controls, procedures and processes that member firms are inco... More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
Common Examination Findings and Effective Compliance Practices (Medium and Large Firm Focus)
This CLE program provides guidance on common deficiencies noted during FINRA examinations of medium and large firms.. Industry practitioners discuss taking proactive compliance measures and corrective action in response to examination deficiencies and recommendations. Senior FINRA staff discuss the exam process from their perspective and provide examples of best practices. After attending this session, you will be able to: Understand the FINRA examination process and effective practice... More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
Common Examination Findings and Compliance Effective Practices for Institutional Firms
This CLE program provides guidance on common deficiencies noted during FINRA cycle examinations of institutional firms, and issues that result in a cautionary letter. Industry practitioners discuss their experience during examinations and taking corrective action and updating compliance procedures and practices based on lessons learned from common examination deficiencies. After attending this session, you will be able to: Understand the FINRA examination process and how to create effe... More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
The Three Lines of Defense: Risk Management Supervision, Compliance and Internal Audit
This CLE program will provide guidance on the challenges facing compliance professionals. Separation of compliance and business supervision roles is becoming much more difficult. Join FINRA staff and industry practitioners as they discuss how their firms are defining the roles of supervisors and compliance personnel. The panelists discuss the three lines of defense and how their firms are applying the risk model. After attending this session, you will be able to: Compare and contrast t... More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
So Your Commercial Borrower Is In Default? Protecting your Security Interest
Banks, commercial lenders, private investors and loan holders are confronted with a number of important decisions when business owners default on their loan obligations and/or fall behind on their mortgage payments for their commercial property. New Jersey has seen an influx of foreclosures over the recent years. One way that lenders can protect their security interests in their respective properties is by instituting foreclosure proceedings to recover the properties at issue and engage in var... More Info
$1252.5General Credits -
On-DemandCDs, DVDs, USB Stick
Cyan, Inc. v. Beaver Country Employees Retirement Fund: What it Means; What We Can Expect
In a much-awaited decision on which courts and counsel have reached different conclusions for years, the United States Supreme Court held that the Securities Litigation Uniform Standards Act (“SLUSA”) does not strip state courts of jurisdiction over class action law suits brought exclusively under the Securities Act of 1933 (the “1933 Act”). The Supreme Court additionally held that SLUSA does not permit removal of class action claims brought solely under the 1933 Act from state to federal cour... More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
Navigating the Purchase and Sale of a Financial Advisory Practice
Many attorneys service clients who are brokers and/or financial advisers in connection with various aspects of their business. In doing so, such attorneys are generally tasked with being well-versed the regulatory, contractual and litigation concerns these particular clients face. Due to the constant evolution of the financial advisory space, practices change hands by way of sale and merger on a fairly regular basis. These transactions are incredibly nuanced, subject to regulatory consideratio... More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
Avoiding Legal Malpractice and Breach of Fiduciary Duty
This CLE program presented by attorney Norman Arnoff, will discuss Legal Malpractice, Fiduciary Duty in the legal profession and how the legal profession's concepts and standards of fiduciary duty can be adapted to the capital markets and the financial services industry. He outlines the elements of legal malpractice (1) attorney client relationship; (2) breach of the duty of care; (3) causation ("but for" or proximate cause) and (4) cognizable economic damages (and not pain and suffering or d... More Info
$751.5Ethics Credits