Pennsylvania CLE - On-Demand Courses
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
Market Regulation and Transparency Services Priorities: What You Need to Know
Join us for an engaging session where FINRA staff will provide comprehensive insights into the latest updates on market regulation and transparency priorities concerning equities, options, and fixed income compliance programs. During this session, our esteemed panelists will discuss the following key topics: Updates on market regulation and transparency priorities, encompassing ongoing initiatives and rulemaking efforts. In-depth thoughts and perspectives from FINRA panelists on equi... More Info
$291General Credit -
On-DemandOnline & iOS/Android App
Market Structure: Current Developments and Future Trends
In this CLE program, panelists will engage in a discussion about the latest advancements in market structure. They will cover topics such as order handling, order routing, execution quality disclosure, and other relevant developments pertaining to fixed income and equity securities. The session will focus on the following points: Exploring ongoing developments and emerging trends in the industry, such as best execution guidance, concerns related to payment for order flow, and the impa... More Info
$291General Credit -
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
$291General Credit -
On-DemandOnline & iOS/Android App
The Evolution of Branch Office Inspections
Join our panel discussion as we explore valuable insights gained from the shift towards remote branch inspections. Our esteemed speakers will delve into topics such as effective tools and documentation strategies, alternative vendors, key indicators to watch out for ("red flags"), as well as the latest developments in FINRA inspections and other regulatory advancements. More Info
$291General Credit -
On-DemandOnline & iOS/Android App
The Firm Perspective on Monitoring and Protecting Against Financial Crimes
Don't miss this session covering financial crimes from a firms' perspective. This CLE session will cover a wide range of tactics, red flags, and mitigation strategies associated with fraud, insider trading, cybersecurity, and money laundering. Key topics include: Effective practices and controls for firms to monitor, protect against, and address AML, cybersecurity, and fraudulent activities. Tips to identify potential red flags for fraud and insider trading, along with guidance on re... More Info
$291General Credit -
On-DemandOnline & iOS/Android App
Broker Lien Rights: What Attorneys Need to Know
Presented by a seasoned attorney who authored or lobbied on behalf of the roughly 34 states with commercial real estate broker lien rights, this CLE course will address a variety of related issues. The course will address protected commission claims, the prerequisite of such claims, timing, and legislative history. Advice on enforcements as well as guidelines for drafting a lien, asserting and serving a claim, foreclosing and defending judgement a the appellate level will be addressed.... More Info
$551.5General Credits -
On-DemandOnline & iOS/Android App
Current Trends and Threats in Financial Crimes
During this CLE session, Deputy Director Abbate and Under Secretary Nelson engage in a comprehensive dialogue on the most recent advancements in financial crimes and the risks associated with illicit finance. The discussion encompasses novel and emerging threats concerning money laundering, fraud, securities fraud, cybercrime, digital assets, and sanctions. More Info
$291General Credit -
On-DemandOnline & iOS/Android App
Financial Responsibility Rules and Relevant Touchpoints
Join us for an enlightening CLE course where our esteemed panelists will explore a range of topics related to SEC and FINRA financial responsibility rules. The discussion will encompass the regulatory obligations imposed on introducing, intermediary, carrying, and clearing firms as outlined in FINRA Rule 4311 and SEA Rule 17a-4. In addition, the panel will delve into other subjects such as liquidity management and the intricacies of fully-paid lending. More Info
$291General Credit -
On-DemandOnline & iOS/Android App
Private Placements: The Latest Regulatory Developments and Compliance Considerations
This CLE program will explore the latest private placement regulatory advancements, with a particular focus on regulatory notice 23-XX. Gain valuable insights into compliance responsibilities and best practices concerning Reg BI, sales materials, due diligence, conflicts of interest, and other pertinent topics. This session will cover the following areas: In-depth analysis of recent regulatory developments, compliance obligations, and effective practices pertaining to private placem... More Info
$291General Credit -
On-DemandOnline & iOS/Android App
The Inside Scoop on Insider Threats and Cybersecurity
This CLE program is designed to expand your understanding of the compounding risks associated with insider and related cyber threats. By joining this session, you will gain comprehensive knowledge about the various manifestations of these risks, their potential occurrence in different contexts, and most importantly, why it is crucial for your firm to prioritize the evolution of its programs in order to effectively detect and mitigate insider activity. In today's interconnected digital l... More Info
$291General Credit
