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

    Offshore Asset Protection: Exploring the Various Jurisdictions for Protecting your Clients' Assets

    By many standards, the U.S. is the world’s most litigious society. Learn how to put your clients in a better position to survive a lawsuit. Offshore Asset Protection is often the best way to protect assets from frivolous claims and lawsuits. This course will cover how to use a multitude of jurisdictions such as the Cook Islands, Saint Kitts and Nevis, Switzerland, and Belize to protect your client’s assets. The course will discuss offshore asset protection, its purpose and why it is ne... More Info

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

    Form CRS: Practical Considerations for Attorneys

    Every attorney who is in the position of referring a client to a financial professional or firm needs to be aware of the firm's CRS, a new 2- to 4-page disclosure document that SEC-regulated firms must deliver to their clients. The CRS was adopted to help investors understand the different standards of care that apply to their financial professionals (investment advisers vs. broker-dealers vs. dual registrants), as well as conflicts of interest embedded in the firm's way of doing busi... More Info

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

    Oh How the Mighty Have Fallen: Crypto and the Federal Securities and Commodities Laws

    This CLE program covers the basics of the intersection between “cryptocurrencies” and the federal securities and commodities laws. The title of this program comes from Samuel 2, 1:19. Why this title is apt should be obvious to anyone knowing of recent events in the world of crypto. The program discusses the allegations against Samuel Bankman-Fried, the former CEO of a group of companies known as “FTX,” by the U.S. Department of Justice, the Securities and Exchange Commission and the Com... More Info

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

    Rules and Principles of The Division of Real Estate Between Married and Unmarried Partners

    This CLE course will focus on the division of real estate among divorcing couples. We will discuss how prenuptial and midmarriage agreements can protect the spouse's interest in the property and especially if a down-payment was provided by a family member. The course will also describe the pitfalls that befall practitioners when drafting divorce or separation agreements dealing with sale and buyout of real property. Examples and practice pointers will be provided. More Info

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

    The Highs and Lows of Cannabis Land Use Regulations

    More than 155 million Americans now live in states with legal weed. Maryland and Missouri passed legalization earlier this month, meaning there are now 21 states where anyone at least 21 years old will be able to legally possess marijuana. While people will soon be able to legally purchase and use marijuana in 21 states, cannabis remains classified as a Schedule I drug on the Controlled Substances Act, the same category as heroin. That means cannabis use can still be a disqualifying factor for... More Info

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

    Due Diligence Under The 33 Act: Avoid Disasters in the Middle of an IPO

    From due diligence to closing there are traps and pitfalls that can be anticipated. Attend this CLE course and learn from the lawyers and bankers what they confront and worry about during the marketing and distribution of initial public offerings. The panelists will provide real life examples of challenges that could have jeopardized the success of the IPO’s. Avoid the disasters and help assure your clients’ successful underwriting. More Info

    $75
    1.5General Credits
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    Back to the Future in Fixed Income Investing? Navigating a Changing Landscape in Municipal and Fixed Income Securities

    This panel will discuss common content standards between FINRA Rule 2210 and MSRB Rule G-21 and describe some key differences. Attendees will hear tips on creating compliant municipal securities communications and considerations for more complex debt instruments. Attendees will gain knowledge of how FINRA’s Fixed Income Regulation Staff works with MSRB on municipal securities matters. Topics Discussed: Comply with the common content standards of FINRA Rule 2210 and MSRB Rule G-21 an... More Info

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

    Variable Products & Retirement Planning

    Join FINRA staff and industry practitioners as they discuss variable and retirement planning productions. The panelists also explore frequently asked questions and discuss regulatory challenges. Topics Discussed: Summarize how to create a variable product communication with respect to content and performance. Address selected topics, such as supplemental hypothetical illustrations, comparisons and complexity of contracts and investment options. Understand the legal perspective on th... More Info

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

    Advertising Compliance Bootcamp: Select Topics

    This panel will discuss examples of content violations, disclosure and performance standards of SEC Rules, standards for variable insurance product communications, guidance with respect to options communications, presentation of rankings, the core concepts of social media and digital communications, and a list of basic “do’s” and “don’ts.” By the end of the session, you will be able to: Comply with the content standards of FINRA Rule 2210. Apply the: SEC Rules to investment company... More Info

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

    Advertising Compliance: Fundamentals of FINRA Rule 2210

    This CLE course is designed for attorneys who are new to FINRA’s advertising rules or experienced practitioners interested in a refresher. A panel of FINRA professionals provides an overview of FINRA’s Communications With the Public rule, including filing requirements, internal approval and supervision, and content standards. Panelists answer questions about how to apply the rules to financial services communications and marketing materials. More Info

    $50
    1General Credit

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