Virginia MCLE - Securities Law Courses
This is a listing of Securities Law CLE Courses for Virginia. Please make your selection below of 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.
Virginia MCLE
Accreditation Info
Courses purchased through the United Institute for Continuing Legal Education are provided and fully accredited by The National Academy of Continuing Legal Education, an approved Virginia State Bar MCLE Accredited Sponsor. To view our full accreditation details please .
-
On-DemandOnline & iOS/Android App
Safeguarding Your Business & Investment Clients with Proactive Asset Protection & Estate Planning
The goal of Asset Protection & Estate Planning Program for Business & Investment Clients is to address both legacy and family considerations as well as provide complete asset protection while optimizing tax benefits. This CLE course will provide everything you need to know to design a program that is both easy-to-use and flexible enough to apply even as a portfolio grows. The programs must also be able to hold up under any legal scrutiny and be fully integrated so that assets are not le... More Info
$552General Credits -
On-DemandOnline & iOS/Android App
Common Issues with Navigating the Changing Landscape of Multistate Taxation of Crypto Currency & Crypto Based Companies
State Taxation varies across US states. The State and Local Tax (SALT) levels in particular are different for every jurisdiction with their own tax code and tax treatment for different types of applications. For example, the revenue from a particular company is classified in California may vary widely from how it is viewed in Texas. The US Supreme Court, citing the Commerce Clause and various other constitutional considerations, places limitations on a state’s power to tax. One of these rela... More Info
$291General Credit -
On-DemandOnline & iOS/Android App
Conflicts of Interest in the Financial Services Industry: What Every Attorney Needs to Know
Referring clients to financial advisers carries some degree of risk. Attorneys need to be knowledgeable about the regulatory framework that distinguishes financial advisers, particularly given the 2020 disclosure documents (Form CRS). This CLE course will explain the regulation of financial advisers and how standards of care differ. The course will offer strategies for recognizing potential conflicts of interest that may impact the adviser-client relationship as well as how new SEC di... More Info
$291General Credit -
On-DemandOnline & iOS/Android App
The Progression of Regulation Best Interest and Form CRS
This CLE program will explore recent observations on firms' compliance with Regulation Best Interest (Reg BI) and Form CRS. The discussion will provide valuable insights and practical guidance on key topics such as Reasonably Available Alternatives, the Care Obligation, and managing Conflicts of Interest. Key topics include: Recent findings by the SEC and FINRA regarding Reg BI and Form CRS compliance. Interpretation, guidance, and best practices: In-depth analysis of recent SEC... More Info
$291General Credit -
On-DemandOnline & iOS/Android App
Technology Governance: Mitigating Risk Throughout the Vendor Lifecycle
This CLE course delves into essential considerations for firms outsourcing activities or functions to third-party providers. Learn from panelists about mitigating vendor risk through robust technology governance programs that cover the entire vendor engagement lifecycle, from onboarding and ongoing due diligence to event response and offboarding. Topics include: Vendor management and due diligence per Regulatory Notice 21-29 (FINRA's reminder of supervisory obligations related to th... More Info
$291General Credit -
On-DemandOnline & iOS/Android App
Promoting Market Integrity: FINRA’s Role in Market Structure
Gain insights from regulatory and industry experts on FINRA’s efforts to uphold market integrity and the impact of new and evolving regulations. This CLE program will cover: New and emerging rules SEC market structure proposals Securities lending practices Transparency initiatives shaping the market. More Info
$291General Credit -
On-DemandOnline & iOS/Android App
Modernizing Off-Channel Communications Supervision
Join our panelists as they share insights from thematic reviews of off-channel communications, including text messages and social media platforms. Discover effective techniques firms are using to oversee their communications. This session will cover: The communications landscape Rule requirements for books and records, public communications, and supervision SEC and FINRA enforcement actions Observations from reviews of off-channel communications OSE-facilitated communications roundt... More Info
$291General Credit -
On-DemandOnline & iOS/Android App
Fixed Income Securities Regulatory Outlook
This CLE session will delve into the most recent regulatory developments impacting fixed income and municipal securities. This comprehensive session will cover crucial topics such as Time of Trade disclosures, updates to SEA Rule 15c2-11, and critical insights for firms navigating examination priorities, findings, and enforcement actions. Key points of discussion will include: The latest amendments to SEA Rule 15c2-11. Detailed analysis of Time of Trade disclosures, with a focus on... More Info
$291General Credit -
On-DemandOnline & iOS/Android App
Developments in Remote Supervision
This CLE course will delve into the newest advancements in remote supervision, featuring insights on the remote inspection pilot program, updated supervision rules for Residential Supervisory Locations, and best practices for risk-based supervision. Key topics include: Transitioning from current COVID relief measures to the implementation of Rules 3110.18 and 3110.19 Effective reporting of residential locations and RSLs in Firm Gateway Best practices and key considerations for rem... More Info
$291General Credit -
On-DemandOnline & iOS/Android App
The Latest in Private Placement Sales Oversight
Stay informed about regulatory developments, compliance obligations, and best practices for selling private placements. This CLE session will cover: An overview of regulatory updates and compliance obligations related to private placements Effective practices for adhering to Regulation Best Interest (Reg BI) Communication strategies, due diligence processes, and managing conflicts of interest A discussion on Regulatory Notice 23-08, detailing firms’ responsibilities when recommen... More Info
$291General Credit
