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!
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On-DemandCD/DVD/USB, Online, iOS/Android App
Collateralized Debt Obligations and Credit Default Swaps: A Guide for Lawyers
Collateralized Debt Obligations (CDOs) and Credit Default Swaps (CDS) have played and continue to play prominent roles in the global capital markets. What's the difference between a CDO and a CLO? What are TruPs CDOs? And why are they so controversial? Cut through the headlines and get a real understanding of CDOs and CDSs, how they are structured and the litigation landscape regarding these investments today. This informative CLE course, presented by New York attorney and CDO and... More Info
$1253.3General Credits -
On-DemandCD/DVD/USB, Online, iOS/Android App
Collections in the Age of Covid
We are living through incredible times. No one could have suspected that we would be facing a global pandemic that virtually shut down life as we know it. All too many businesses remain closed or are opening to a fraction of capacity. Many people remain out of work or working part-time. But what can you do if a business entity or person/consumer owes you money? Such receivables could wreak havoc on your own business and its future viability. Being the managing partner of a small law fi... More Info
$751.8General Credits -
On-DemandCD/DVD/USB, Online, iOS/Android App
Commercial Pace, The New Kid On The Block: The Legal Framework For A New Form Of Commercial Real Estate Financing
Commercial Property Assessed Clean Energy Financing (C-PACE) is one of the newest financial tools for property owners and developers in the country. Offering lower interest and longer terms with a super-priority lien, it behaves like a muni bond but can be put into a capital stack. Find out the legal ins and outs of how this is enabled, its legal structure and status, and how you can put it to work for your clients, whether they be private owners, developers, banks, or local governmen... More Info
$501.2General Credits -
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
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 Issues with Navigating the Changing Landscape of Multistate Taxation of Crypto Currency & Crypto Based Companies
State Taxation varies across every state in the United States. Specifically at a State and Local Tax (SALT) level, every jurisdiction has its own tax code and tax treatment for various applications. For example, the way California may classify revenue from a certain company is not the same as Texas will perceive the revenue. Of course, the Supreme Court of the United States has weighed in on limitations of a state’s power to tax, citing the Commerce Clause and various other constitutional cons... More Info
$501.2General Credits -
On-DemandCD/DVD/USB, Online, iOS/Android App
Communications Compliance: Current Developments
This CLE program will discuss current communications compliance and marketing practices. Topics include recent guidance on how FINRA’s communications rules apply in a virtual environment, and how firms can communicate compliantly about ESG and other current investment trends. Panelists will also talk about the regulatory implications of complex products and services such as crypto assets and emerging technologies in the marketing compliance space. After attending this session, you... More Info
$501.2General Credits -
On-DemandCD/DVD/USB, Online, iOS/Android App
Complex Products and Alternative Investments
This CLE will focus on the latest regulatory updates and due diligence obligations and effective practices in connection with sales of alternative investments; including: Private Placements, Online Distribution Platforms, Finders, Real Estate Investment Trusts, Opportunity Zone Funds, Regulation A+, Blind Pools and Capital Acquisition Brokers. Join FINRA staff and industry experts as they identify features and compliance risks of specific securities products and how to implement effect... More Info
$501.2General Credits -
On-DemandCD/DVD/USB, Online, iOS/Android App
Complexities of Acquiring Control: Where the Fed’s Control Rule Meets Other Regulatory Definitions
The Federal Reserve finalized revisions to its approach for determining whether one company has control over another for purposes of the Bank Holding Company Act and the Home Owners’ Loan Act, as amended. While in many respects the final rule codified the Fed’s existing control standards, it also introduced new concepts and raised critical questions about the industry should implement the rule in practice. Over the last two years the industry has grappled with how to apply these revisi... More Info
$751.84General Credits