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-DemandCDs, DVDs, USB Stick
How to Handle a Securities Regulatory Investigation
How you handle a securities regulatory investigation is critical, and being uninformed or ill-prepared could lead to significant consequences for your client. It is also important to understand your ethical obligations before, during, and after an investigation, as representation lines may become blurred. During this CLE, our panel of experienced practitioners will discuss: the various stages of a securities regulatory investigation the initial contact demand for documents gathering... More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
Identifying Bankruptcy Red Flags
For anyone forced to declare bankruptcy, the experience is emotionally and psychologically devastating. And while many bankruptcy clients end up in financial straits because of irresponsible behavior or faulty business decisions, there are an equal number who are simply confronted with situations they do not have the means to deal with such as illness or unemployment. Bankruptcy attorneys must be attuned to their clients states, both financial and emotional, in order to develop a productive,... More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
Impact of the Supreme Court’s Decision in U.S. v. Salman on the Law of Insider Trading
The Dec 6, 2016 court ruling in US v Salman clarifies the “personal benefit” requirement and eases the government’s burden of proving insider trading cases. But how does this impact other decisions such as US v Newman and the prosecution of future insider trading cases? While the government need not show that the tipper has received something of tangible value, it raises the question of when the relationship between tipper and tippee reaches the level which would satisfy this lesser “personal... More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
Increasing Revenue for Your Clients and Yourself Through Franchising
The purpose of this CLE course is to show you how you can increase the revenue of both your client and yourself through franchising. The lecture describes the advantages of franchising, the success of franchising in the United States, the types of businesses that can be franchised, what is involved in establishing a franchise system, the registration requirements of various states, the Franchise Disclosure Document, your duties as a franchise attorney and your options as a franchise a... More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
Introduction to Structured Finance
RMBS, CMBS, CDOs, SIVs can seem like alphabet soup yet they play an integral part of the global economy and capital markets. Some will even allege that these sophisticated financial products were responsible for the credit crisis that nearly destroyed the global economy. What are these structured products, how do they work and who created them? This informative CLE course, presented by New York attorney and subject matter expert Jack Chen, explains the essential characteristics of structu... More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
Introduction to the Fair Debt Collection Practice Act (FDCPA)
This CLE course offers a thorough introduction to the Fair Debt Collection Act (FDCPA). Presented by Harvey Rephen, who specializes in consumer protection from abusive and illegal debt collection, this fascinating and timely CLE course includes a comprehensive overview of the FDCPA and an explanation of the various restrictions placed on debt collectors. The course also details the parameters of communication with debtors and third parties, prohibited practices, and civil liabilities with rega... More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
Investing in the Cannabis Industry 101
The Cannabis industry is arguably the fastest growing industry in the United States, if not globally. Opportunities abound both with respect to hemp and marijuana, but it’s critical to understand the landscape and nuances that are unique to the industry when considering investment or transactions in the space. Join Brent Johnson, CEO of Hoban Law Group (a leading global law firm dedicated exclusively to the Cannabis space), as he provides a high-level overview of the Cannabis industry, inves... More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
Investment Companies Current Topics
Join FINRA staff and industry panelists as they discuss topical advertising compliance issues concerning registered investment companies, including mutual funds, ETFs and closed-end funds. Panelists cover the compliance challenges associated with complex products such as single stock ETFs, crypto futures funds, non-transparent ETFs and ESG focused investments. The panel also includes discussions regarding regulatory interpretations and compliance tips. More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
Key Insurance Coverage Considerations for Private Equity, Hedge Funds, Broker-Dealers and Investment Advisers
The investment management industry is under greater regulatory scrutiny than ever before. Combined with the threat of cyber breaches and an increase in investor activism, it is imperative for funds, broker-dealers and investment advisers to carefully review their insurance coverage and evaluate its adequacy in the current climate. Through interactive panel discussions, this CLE course will review key coverage issues and explain the various policies and the claims and activities covered by each... More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
Legal Issues in Divorce Cases: Equitable Distribution, Spousal Maintenance and Child Support
The CLE course will detail how New York, somewhat patterned on New Jersey equitable distribution law, instituted and applied equitable distribution to all divorces. The course will include the current applicable statutory and recent case law. The course will also include tips on how to argue for the best possible result for your client on all financial issues. As for spousal maintenance and child support, besides reviewing the current statutes and guidelines, and recent appl... More Info
$501General Credit