Pennsylvania CLE - Securities Law Courses
This is a listing of Securities Law 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.
Pennsylvania CLE
Accreditation Info
Courses purchased through UnitedCLE.com are provided and fully accredited by The National Academy of Continuing Legal Education, a Pennsylvania Accredited CLE Provider (Provider ID 6208). To view our full accreditation details please .
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On-DemandOnline & iOS/Android App
Capital Formation Developments
As capital markets evolve, legal advisors play an increasingly strategic role in helping firms manage the intersection of innovation, regulation, and market opportunity. This session provides attorneys with a legal-focused exploration of current capital formation practices and the regulatory changes shaping them. Attorneys will examine how firms are pursuing new approaches to capital raising, along with the legal risks and responsibilities that accompany those innovations. With today’s... More Info
$291General Credit -
On-DemandOnline & iOS/Android App
Complex Products: New Developments and Compliance Considerations for Retail Firms
The expansion of complex financial products in the retail space—especially Registered Index-Linked Annuities (RILAs)—has introduced new layers of legal exposure and regulatory scrutiny. This CLE program gives attorneys a clear view into the supervisory demands firms face when distributing these products to retail investors. This CLE course will examine how RILAs function, why they pose unique compliance challenges, and what legal teams need to watch for—including conflicts of interest,... More Info
$291General Credit -
On-DemandOnline & iOS/Android App
Compliance & Legal Trends
As the financial services industry undergoes rapid evolution, attorneys must stay attuned to the shifting forces that impact compliance frameworks. This session offers a strategic legal lens on how firms are responding to a convergence of regulatory change, market demands, and technological disruption. Rather than focusing solely on rules, this course explores the broader trends driving compliance transformation—emerging enforcement priorities, digital innovation, and changes in busines... More Info
$291General Credit -
On-DemandOnline & iOS/Android App
How to Use Data to Drive Effective Oversight
Today’s compliance environment is increasingly data-driven, placing new demands on legal professionals advising financial firms. This CLE course focuses on the legal and governance implications of data use in compliance, offering attorneys a deeper understanding of how data analytics are reshaping firm oversight and regulatory responses. This CLE course begins with a look at how firms—regardless of size or resource levels—are integrating analytics into their compliance and surveillance... More Info
$291General Credit -
On-DemandOnline & iOS/Android App
Legal Risk and Regulatory Strategy: A Conversation with FINRA Senior Leaders
This participant-driven CLE session, tailored for financial legal and compliance professionals, addresses key FINRA regulatory topics through audience questions, offering practical guidance for today’s regulatory challenges. Topics Covered: FINRA Forward Initiatives: Rule modernization, compliance resources, and cybersecurity/fraud strategies. Capital Formation: Rules balancing innovation and investor protection. CAT and PCAOB: Transaction tracking and audit compliance for small firm... More Info
$291General Credit -
On-DemandOnline & iOS/Android App
The State Of The Art of Investment Advisor Regulations
This CLE course provides practical guidance for investment advisers following the Fifth Circuit's decision to vacate the SEC's latest Private Investment Adviser regulations. We will explore the reasons behind the SEC's decision not to appeal and the resulting implications. The course will also address current trends and best practices in artificial intelligence, the Marketing Rule, and other recent regulatory developments. Additionally, we will discuss broader judicial decision... More Info
$291General Credit -
On-DemandOnline & iOS/Android App
Compliance and Legal Trends in The Financial Industry
Join leading experts from member firms as they explore the latest trends and strategic priorities shaping the legal and compliance landscape. In this dynamic CLE session, our panelists will share their invaluable insights on how evolving business, regulatory, and technological changes are transforming these critical functions. Participants will gain a comprehensive understanding of: Emerging trends and challenges in legal and compliance roles. Strategic focus areas to enhance legal and... More Info
$291General Credit -
On-DemandOnline & iOS/Android App
Ask FINRA Senior Leaders
In this CLE session, senior staff from FINRA will provide crucial updates on current regulatory issues and initiatives. Join us as expert panelists delve into FINRA's risk-based examination program, recent disciplinary actions, market regulation programs, and the latest and forthcoming rules. This session will cover a range of vital topics, including: Modernizing FINRA Rules in a Post-COVID World: Explore initiatives like the Remote Supervision and Inspection (RSL) and the Remote In... More Info
$291General Credit -
On-DemandOnline & iOS/Android App
Crowdfunding Capital Raises: Considerations for Broker-Dealers & Funding Portals
Join our expert panel for a deep dive into Regulation Crowdfunding (Regulation CF) and its impact on broker-dealers and funding portals. This CLE session will provide valuable insights into regulatory risks and best practices for maintaining compliance. Key discussion points include: Regulation CF for Broker-Dealers: Understand the specific requirements and strategies for broker-dealers participating in crowdfunding offerings. Regulation CF for Funding Portals: Explore the unique c... More Info
$291General Credit -
On-DemandOnline & iOS/Android App
Crypto Assets: Trends, Regulatory Developments and Resources
Dive into the latest updates in cryptocurrency regulation in this insightful CLE session. We'll cover a range of critical topics, including the recent crypto-assets retail communications initiative, emerging trends in crypto misconduct, and practical resources for navigating the evolving landscape. Key discussion points include: Regulatory Developments: Review the December 2023 crypto-assets retail communications sweep. Address disclosure and compliance concerns in OBAs and priv... More Info
$291General Credit
