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
Restricted Firm Obligations: What You Need to Know
Rule 4111 (Restricted Firm Obligations) went into effect recently, and creates new obligations and criteria for identification. This CLE course features FINRA staff as they present the new obligations under Rule 4111 as well as identify controls, processes and procedures that member firms have begun to implement to address the new obligations under the rule. The course will review the various identification metrics thresholds and explain restricted deposit accounts. More Info
$291.2General Credits -
On-DemandOnline & iOS/Android App
Remote Supervision: Compliance Challenges in a Remote Working World
Day-to-day operations in firms all over the world were severely disrupted by the COVID-19 pandemic. With the majority of staff working remotely, supervisory practices were completely overhauled. The CLE course, presented by FINRA staff and industry specialists, will present the many challenges firms face with remote work and how we can all learn from these experiences to improve our Business Continuity Plans (BCP’s). More Info
$291.2General Credits -
On-DemandOnline & iOS/Android App
Remote Supervision
Remote work has become the norm in the post-COVID world. This CLE course, presented by FINRA staff and industry panelists, will explain what they have learned as they moved to remote work. Presenters will discuss a wide range of issues including effective controls, processes and procedures being incorporated by member firms to address supervision in remote work environments. The course will enable you to identify these as well as evaluate effective practices that are emerging as a resu... More Info
$291.2General Credits -
On-DemandOnline & iOS/Android App
Regulation of Banks in the U.S.
Offering a comprehensive overview of the significant bank regulatory laws beginning in the Great Depression and stretching through to the 2010 Dodd Frank Act, this CLE course will explain all aspects of bank regulation in the US. The course will explain the state and federal agencies that have jurisdiction over banks and a variety of the regulatory compliance requirements including Dodd Frank Act requirements. Trends in governmental enforcement action against banks, recurring cycles of deregulat... More Info
$551.5General Credits -
On-DemandOnline & iOS/Android App
Regulation Best Interest and Form CRS: Recent Observations and What to Expect
This CLE course will explain the new Regulation Best Interest (Reg BI) and Form CRS (client relationship summary) rules and the requirements of compliance. The course will explain how firms are complying with these rules, the examination process, tips, strategies and helpful resources to help with current and future compliance issues. The course will present some of the challenges firms may face in reconciling Reg Bi and Form CRS delivery as well as best practices for supervisi... More Info
$291.2General Credits -
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
$291.2General Credits -
On-DemandOnline & iOS/Android App
Redefining Communications Compliance for the Digital Age
Join us in exploring how firms are tackling the compliance challenges and leveraging the opportunities presented by the growing reliance on mobile apps, social media, and other digital channels for communication. In this enlightening session, industry experts and representatives from FINRA will provide valuable insights on navigating the intricate landscape of firm communications with the public. The panelists will delve into a range of important topics, including lessons learned from F... More Info
$291.2General Credits -
On-DemandOnline & iOS/Android App
Recent Important Civil Cases of The Virginia Supreme Court For All Civil Litigators
Covering a broad range of topics and legal areas, this course will present 44 written summaries of recent opinions by the Virginia Supreme Court. The cases cover a wide scope including wrongful death, torts, civil rights to contracts, economic loss rule, family law, civil procedure, causes of action, evidence, affirmative defense including immunity and resjudicata/collateral estoppel. The summaries include alerts that attorneys should take into consideration from the various issues rai... More Info
$552.42General Credits -
On-DemandOnline & iOS/Android App
Raising Capital in the Internet Age: The Current State of Crowdfunding
With new regulations governing Internet fundraising being passed in an industry that is still developing, the newest information is critical. This CLE course will review all the recent crowdfunding regulations including Title III of the JOBS Act. The Act, which joins two prior regulations, permits a person or company to offer securities over the Internet for up to $1 million in a 12 month period. Previous regulations revolve around equity offerings and taken together, the new rules make it vastl... More Info
$551.5General Credits -
On-DemandOnline & iOS/Android App
Purchase Or Sale Of A Business, Or Part Of A Business: Documents Boot Camp
The purchase or sale of businesses or ownership interest in a business require a tremendous number of documents. The primary ones include Asset Purchase Agreements, Stock Purchase Agreements and Membership Interest Purchase Agreements. This CLE course will explain and provide samples of all of these documents and others and explain when they should be implemented. Other documents to be explained include: Letters of Intent, Non-Disclosure Agreements, Authorizing Resolutions, Lien Search... More Info
$813.1General Credits
