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 .
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On-DemandOnline & iOS/Android App
Investment Companies Current Topics
This CLE course will address a variety of advertising compliance issues concerning registered investment companies. These may include mutual funds, ETFs and closed-end funds. FINRA staff and industry experts will present the compliance challenges related to complex products such as single stock ETFs, non-transparent ETFs and ESG focused investments and crypto futures funds,. The panel will also discuss regulatory interpretations and offer tips to stay in compliance. More Info
$291General Credit -
On-DemandOnline & iOS/Android App
Managing Your Client’s Series A Offering of Securities: A Step by Step Guide
Before a start-up or early stage company is ready for its first round of venture capital, known as a Series A Round or Series A Offering, it typically goes through a number of informal financing rounds. To that end, companies will turn to founders, friends and even family members. If it’s successful however, the Series A offering of securities will involve a series of steps. This informative CLE course will offer a complete overview of the process including: reviewing and updating... More Info
$551.5General Credits -
On-DemandOnline & iOS/Android App
Market Regulation Priorities
Current regulations and new rules have shifted market regulation priorities. This CLE course will offer an update on recent initiatives and rules and how they impact the priorities of today. The course will be presented by FINRA panelists who will offer insights on equities, options and fixed income compliance programs. The course will also review FINRA’s Market Regulation Examination priorities and summarize recent disciplinary actions as they relate to fixed income, equities and opti... More Info
$291General Credit -
On-DemandOnline & iOS/Android App
Metaverse Law: Intro to ARVR, Issues, IP Ownerships, Monetization, Cyber Currency, and Licensing
This CLE course will address the incredible breadth of tech law in the Metaverse, which still remains largely unregulated. The course will offer a review of the basic terminology – using terms everyone can understand – as well as how regulatory and statutory laws may apply to the Metaverse, how it polices itself and how it is monetized. The course will also delve into blockchain and security, intellectual property, cryptocurrency and other related issues with regards to funding... More Info
$551.5General Credits -
On-DemandOnline & iOS/Android App
Navigating the SEC and CFTC Whistleblowing Programs
Whistleblower programs are not a particularly well known or understood feature of the various entities which have them, including the SEC, IRS and CFTC. This CLE course will present an overview of these programs including eligibility, anonymity and the whistleblower process. The course will review the steps needed to file a claim with each agency and explain how claims are analyzed. The course will then delve deeper into the various ambiguities in the whistleblower awards process and p... More Info
$291General Credit -
On-DemandOnline & iOS/Android App
Oh How the Mighty Have Fallen: Crypto and the Federal Securities and Commodities Laws
With the fall of FTX and the dream of cryptocurrency, the intersection between it and federal and security commodities becomes both fascinating and highly relevant. And as per the title of this session, has taken on Biblical proportions (see Samuel 2, 1:19). This riveting CLE course will present the allegations by the U.S. Department of Justice, the Securities and Exchange Commission and the Commodities Future Trading Commission against Samuel Bankman-Fried, former CEO of FTX, and wil... More Info
$291General Credit -
On-DemandOnline & iOS/Android App
Overhaul of Regulatory Capital Requirements Proposed By US Banking Regulators
This CLE course will examine the new, and fairly extensive, list of revisions to the regulatory capital requirements for both large and midsize banking organizations which were jointly proposed by US federal banking regulators. The revisions, which are quite lengthy, would seriously alter the requirements for market, credit, and operational risk, and while many of these revisions have long been anticipated, such as the re-evaluation of use of internal models, others are quite novel, such as th... More Info
$551.5General Credits -
On-DemandOnline & iOS/Android App
Overview of FinTech Regulation and Compliance
Companies that utilize new technology to automate and improve the delivery of financial services, known as FinTech, face many challenges. This CLE course will explain the core principles and regulatory issues in the US which govern the primary aspect of financial services such as funds, securities, money transition, commodities, anti-money laundering and even basic banking. The course is primarily geared to attorneys, but anyone interested in FinTech has a lot to gain. More Info
$291General Credit -
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
$552.5General 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
$291General Credit
