West Virginia CLE - Finance and Banking Courses
This is a listing of Finance and Banking CLE Courses for West Virginia. Please make your selection below of West Virginia 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
Ethical Considerations of Litigation Funding
Litigation funding, or legal funding is both a highly criticized and helpful area of assisting accident victims depending on whom you are asking. This secondary market of funding clients and attorneys raises ethical issues including but not limited to the attorney client relationship, privilege and champerty. This CLE program discusses those areas and more as it applies to personal injury attorneys and their clients. The lecture both explains legal funding, discusses the merits of assisting th... More Info
$501Ethics Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
Fannie Mae and FHA Condominium Regulation and Policy
This CLE course will explore the relevant guidelines and legal requirements that regulate the availability of obtaining end-loan financing for condominium and cooperative developments which attorneys are relied upon by developers for advice and guidance. Starting with a brief discussion of the history and market trends that led to the current regulatory environment, the course will then explore the currently available financing options and methods for obtaining approval from Fannie Mae, the FH... 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
Implementing a Risk-Based Program and Identifying Red Flags
This CLE program provides guidance on implementing an effective risk-based branch office inspection program. After attending this session, you will be able to: Understand FINRA’s Member Regulation Department’s approach to executing risk-based cycle and branch exams. Gain insight into how member firms prepare for, facilitate and learn from risk-based regulatory examinations along with effective practices from the FINRA perspective. Understand how FINRA uses technology, tools and data... 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
Suitability, Supervision and Surveillance
This CLE program addresses key issues regarding compliance with the suitability rule. Panelists discuss key issues regarding compliance with the suitability rule. They provide practical advice on how firms and registered representatives can better understand customers and securities in order to comply with the suitability rule. They also discuss the intersection of suitability requirements with recent timely industry issues, such as senior customers, sales of complex products, IRA rollovers,... More Info
$501General Credit