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.
West Virginia CLE
Accreditation Info
Courses purchased through UnitedCLE.com are provided and fully accredited by The National Academy of Continuing Legal Education, a presumptive provider of CLE in WV, approved by the WV State Bar. To view our full accreditation details please .
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On-DemandOnline & iOS/Android App
The Three Lines of Defense: Risk Management Supervision, Compliance and Internal Audit
Compliance professionals face a myriad of challenges as the separation of business and compliance supervision roles becomes more complicated. In the CLE course, FINRA staff will be joined by industry practitioners to discuss how firms are re-defining the rules of supervisors and compliance personnel and the three lines of defense and their application to the risk model. The course will compare the first two lines of defense and explain how firms can create a culture of compliance. More Info
$291General Credit -
On-DemandOnline & iOS/Android App
U.S. v. Newman: The Changing Landscape for Insider Trading Liability
What constitutes criminal insider trading has evolved dramatically in recent years. While the recent decision in U.S. v. Newman, a case against two portfolio managers, provides some clarity, many questions still remain. Central to the topic is the clarity needed in what constitutes “tipper” and “tippee” liability, what personal benefit a tipper must receive as well as the tippee’s understanding when receiving information provided improperly. This CLE course, designed for investment advise... More Info
$291General Credit -
On-DemandOnline & iOS/Android App
Working Together to Protect Senior Investors
The senior citizen demographic grows each year and planning for the later stages in life has taken on new urgency as the population lives longer. This CLE course, joined by representatives from regulatory agencies, is designed to help you address the needs and concerns of seniors and soon-to-be seniors including diminished capacity, protection from financial abuse and other issues. The course will explain how to handle calls from seniors, plan for the possibility of cognitive impairment, importa... More Info
$291General Credit -
On-DemandOnline & iOS/Android App
Consolidated Audit Trail
Compliance with a consolidated audit trail requires attention and preparation. This CLE course will explain how to properly and effectively prepare for compliance with the consolidated audit trail (CAT) and will include a discussion of deadlines, useful resources, and firm obligations. The course will also offer an update on the CAT National Market System (NMS) Plan. A review of test release updates, and information on upcoming dates worth noting will be included. More Info
$291.06General Credits -
Live WebinarWednesday, May 1, 20241:00 PM - 2:00 PM Eastern Time (EDT)
Live Webinar: Conflicts of Interest in the Financial Services Industry: What Every Attorney Needs to Know
A full description of this course will be coming soon. Stay tuned! More Info
$291.2General Credits -
On-DemandOnline & iOS/Android App
"Sweat Equity" in Small Businesses and Venture Startups: The Legal and Tax Issues
Issuing shares that are (nearly) tax-free is relatively simple when a small business or start-up first launches. When a shareholder or LLC member receives “sweat equity” or shares in exchange for labor, the tax and legal issues become a bit more complicated. This entertaining, fast-paced CLE course will explain the issues of treating “sweat equity” workers as regular employees as opposed to independent contractors, as well as explain the use of restricted stock, options, warrants and o... More Info
$291.2General Credits -
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
$291.2General Credits -
On-DemandOnline & iOS/Android App
Advertising Compliance Bootcamp: Select Topics
This CLE course will address the issues of content violations, disclosure and performance standards of SEC Rules. The course will also explain the current standards for variable insurance product communications, and offer expert guidance as they relate to options communications, rankings presentations, and the fundamental concepts of digital communications such as social media. The course will ensure you understand how to comply with FINRA Rule 2210’s content standards and can apply th... More Info
$291.2General Credits -
On-DemandOnline & iOS/Android App
Advertising Compliance: Fundamentals of FINRA Rule 2210
Whether you are new to FINRA’s advertising rules or an experienced practitioner looking for a refresher course, this informative CLE course, presented by a panel of FINRA professionals, offers a comprehensive overview of FINRA’s Communications With the Public rule. The course will include filing requirements, content standards, internal approval and supervision. Course panelists answer questions about the rules that apply to financial services communications and marketing materials and... More Info
$291.2General Credits -
On-DemandOnline & iOS/Android App
Asset Protection for Cryptocurrency
In an increasingly litigious society, asset protection is more important than ever and cryptocurrency is therefore having its heyday. Simultaneously, it is the targeted asset in more and more lawsuits with Blockchain technology making it increasingly easier to see the amount of cryptocurrency an individual owns. This CLE course will offer strategies for protecting cryptocurrency assets in a lawsuit. More Info
$291.2General Credits
