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
Guiding Witnesses Through The Minefield of FINRA On-The-Record Interviews (OTRs)
On-the-record interviews (OTR’s) are a key technique for Financial Industry Regulatory Authority investigations. This CLE course will explain FINRA’s OTR methodologies and how to best prepare to represent witnesses during these types of proceedings. The course will explain the overall goals of FINRA as well as provide goals for witnesses as well as strategies for what they should avoid. More Info
$291General Credit -
On-DemandOnline & iOS/Android App
Disclosure Innovations and Digital Marketing Compliance
With the recent publication of FINRA”s Regulatory Notice 19-31 concerning Disclosure Innovations in Advertising and Other Communications with the Public, even seasoned attorneys need an update. This CLE course will offer insights by industry and FINRA experts on how firms can facilitate simpler and more effective disclosure in digital marketing and other forms of advertising. Presenters will review how firms are using technology to transform their customer interactions within the compliance ru... More Info
$291General Credit -
On-DemandOnline & iOS/Android App
RegTech in Advertising and Compliance and Beyond
Regulatory Technology or RegTech has become the newest greatest development in regulatory compliance. This CLE course will explain the technological innovations being applies to creating efficient, effective risk-based compliance programs for communications with the public. How these tools are helping address new challenges and implications of supervision, vendor management, data privacy, and security. The course will provide a comprehensive understanding of RegTech, FinTech and data in financ... More Info
$291General Credit -
On-DemandOnline & iOS/Android App
Advertising Compliance Boot Camp: Fundamentals of FINRA Rule 2210
For those new to FINRA’s advertising rules, there is a great deal to absorb. This CLE course will offer a complete overview on FINRA Rule 2210 – Communications with the Public. The course will explain filing requirements and exemptions, record-keeping requirements, internal supervision and approval and content standards. Applicability to financial services communications and marketing materials as well as strategies for submitting communications for review to the Advertising Regulation Departm... More Info
$291General Credit -
On-DemandOnline & iOS/Android App
General Brokerage and Supervision
In this instructive CLE course, FINRA staff and industry practitioners will review advertising compliance and sales practice as applicable to general brokerage firms as well as their registered representatives. Advertising compliance challenges and methodologies for addressing advertising rules as they relate to creating marketing materials, supervisions, dual registered representatives, radio shows and seminars will be addressed as well as issues such as private placements and consolidated re... More Info
$291General Credit -
On-DemandOnline & iOS/Android App
Essentials of Corporations, Partnerships and LLC's
Presented by business lawyers Eli Greenberg and Mark Silverstein, this CLE course will offer an overview of the four principle business entities - Corporations, General Partnerships, Limited Liability Companies, and Limited Partnerships. The course will explain the ins and outs of organizing, managing and financing such entities as well as how to deal with mergers & acquisitions and option plans. Fiduciary duties and indemnification of management will also be discussed. More Info
$291General Credit -
On-DemandOnline & iOS/Android App
Complex Products and Alternative Investments
The sale of alternative investments include no small amount of due diligence obligations and effective practices. These include, but are not limited to, Private Placements, Regulation A+, Online Distribution Platforms, Opportunity Zone Funds Finders, Real Estate Investment Trusts, Blind Pools and Capital Acquisition Brokers. This CLE course, presented by FINRA staff and industry experts, will identify compliance risks of various securities products and how to implement training, supervision, s... More Info
$291General Credit -
On-DemandOnline & iOS/Android App
FINRA’s Suitability Rule and SEC’s Proposed Regulation Best Interest
This CLE course will provide practical advice on how firms and registered representatives can better assess customers and securities in order to comply with suitability obligations as set down by FINRA Suitability Rule 2111 and the SEC’s Proposed Regulation Best Interest Rule. The course will explain the distinction between the two and explain how to prepare and comply with suitability obligations. More Info
$291General Credit -
On-DemandOnline & iOS/Android App
High-Risk Activity Impacting Retail Investors
Risk evaluation is critical in assessing potential liability. This CLE course, presented by FINRA staff, will provide the necessary insight to identify and assess high risk activity amongst representatives. The course will explain how that risk can be mitigated as early as the hiring process, include risk assessment as part of ongoing supervision and how the data accumulated can be utilized broadly. Using real-life example, the course will provide practical strategies for addressing high risk ac... More Info
$291General Credit -
On-DemandOnline & iOS/Android App
How FINRA Rules Get Made, Reviewed and Updated
How a rule becomes a regulation and other fascinating insights into the FINRA Retrospective Rule Review process will be presented in this comprehensive CLE course. The course will explain upcoming rule changes, regulatory initiatives and how the advisory committees are used in this regard. Providing the necessary information to establish effective rules and practices with regards to the new regulatory rules, the course will also guide you in managing associated risks and identifying opportuni... More Info
$291General Credit
