West Virginia CLE - Finance and Banking Courses
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
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
Municipal Rules and 529 Plans Update
The MSRB (Municipal Securities Rulemaking Board) substantially amended its rules for municipal dealers’ advertising and adopted a brand new standard for municipal advisors’ advertising. The MSRB also adopted formal guidance for both dealers and advisors’ use of social media. The municipal securities advertising rules have changed. This CLE Lecture will assist in learning how the regulators are applying the modernized standards including the new rule for municipal adviser firms. The... 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
Options Markets: Recent Regulatory Issues
Join FINRA staff and industry panelists as they discuss regulatory issues impacting options markets. After attending this session, you will be able to: Discuss recent and ongoing regulatory initiatives Discuss supervision of options trading in customer accounts Identify effective controls, procedures, and technology processes More Info
$501General Credit -
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
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
U.S. v. Newman: The Changing Landscape for Insider Trading Liability
The recent decision in U.S. v Newman, a criminal insider trading case against two portfolio managers, has provided much-needed clarity as to the elements of “tipper” and “tippee” liability, including what constitutes the “personal benefit” a tipper must receive to be liable for tipping information and, more importantly, what level of knowledge someone must have when he or she receives information which may have been improperly tipped. The clarity offered by the Newman case is helpful, but the... More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
Consolidated Audit Trail
Attend this program to hear how to prepare for compliance with the 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. The panel also provides an update on the CAT National Market System (NMS) Plan. After attending this session, you will be able to: Review industry test release updates Discuss upcoming key dates Summarize how to prepare and... More Info
$501.06General Credits -
On-DemandCDs, DVDs, USB Stick
So You’re Interested in a Career in Securities Law
Join NYCLA’s Securities and Exchanges Committee as a panel of securities attorneys from different aspects of practice discuss how to prepare for a securities law career, including the skill sets that need to be developed, possible challenges to be confronted, career paths, work-life balance, the different aspects of practice … and more! More Info
$501.1General Credits