Virginia MCLE - Finance and Banking Courses
This is a listing of Finance and Banking 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.
MCLE Courses Available Online & iOS/Android App and with Live Webinars!
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On-DemandOnline & iOS/Android App
Fraud Detection and Prevention
Attend this session to hear about recent and noteworthy fraud cases. This session focuses on recent or noteworthy fraud trends impacting the financial services industry. Panelists highlight emerging trends in financial frauds related to the brokerage industry, provide tips to identify potential “red flags,” and discuss what to do if a fraudulent scheme is suspected. After attending this session, you will be able to: Understand emerging trends in this new COVID environment in sec... More Info
$501General Credit -
On-DemandOnline & iOS/Android App
Gambling: The "Secret" Addiction
Recent studies have shown that there has been a dramatic increase in impairment due to alcoholism, drug addiction and mental health disorders among members of the legal profession. The statistics are compelling and clearly indicate that 1 out of 3 attorneys will likely have a need for substance use or mental health services at some point in their careers. What about that “other” addiction – Gambling ? The United States Supreme Court, in Murphy vs. NCAA, held that sports gamblin... More Info
$501General Credit -
On-DemandOnline & iOS/Android App
Gamification, Social Media, and Digital Communications Perspectives
Attend this session to hear how regulatory experts are evaluating the rapidly changing world of digital communications to capture investors’ attention and influence their behavior. The panel discusses risks and benefits of gamification features on broker-dealers’ apps and websites, and also considers the effects of digital marketing, notifications and alerts, and the increased impact of social media during the pandemic and beyond. More Info
$501General Credit -
On-DemandOnline & iOS/Android App
GRAT and Valuation Planning After CCA 202152018: What Practitioners Need to Know
CCA 202152018, released on December 30, 2021 has critical impact on grantor retained annuity trusts (GRATs). The CCA addresses a common valuation challenge: what consideration should be given to a potential sale in valuing an asset? Often there is a long continuum from: no sale, to discussions with potential buyers, to a letter of intent, to a binding contract, etc. Where the business is on this continuum will affect how an appraiser evaluates the possible implications of the potenti... More Info
$751.5General Credits -
On-DemandOnline & iOS/Android App
Guiding Witnesses Through The Minefield of FINRA On-The-Record Interviews (OTRs)
One of the key Investigative Techniques used by the Financial Industry Regulatory Authority (FINRA) are on-the-record interviews (OTRs). This CLE course will discuss in detail the dynamics of FINRA OTRs and how to properly prepare and represent witnesses during these proceedings. What is FINRA really trying to accomplish. What should the witness try to achieve and how can the witness avoid dangerous pitfalls. More Info
$501General Credit -
On-DemandOnline & iOS/Android App
How The New Proposed Tax Bill Can Impact Your Retirement Account
This CLE Course will provide in detail the key provisions impacting retirement accounts such as: $10 million Cap on retirement accounts if your income is above $450,000. The elimination of the Backdoor Roth IRA. If you are above the above-mentioned income limits, you can no longer convert to a Roth IRA.. The elimination of the Mega Backdoor Roth strategy. No longer can you contribute after-tax funds into your workplace plan, or convert after-tax contributions to an IRA. This applies t... More Info
$501General Credit -
On-DemandOnline & iOS/Android App
Ideas to Cash: Guiding Creative Clients In Monetizing Their Inventions and Other Creations
This CLE course will enable you to turn your client’s ideas into cash. Different forms of protection are described for various creative ideas, followed by steps necessary to procure/secure patents, trademarks, copyrights and trade secrets. Various types of agreements for different monetizing methods are discussed, with samples. Techniques for finding and approaching “targets” are also explained in detail. More Info
$1002General Credits -
On-DemandOnline & iOS/Android App
Introduction to Franchising Law
This CLE course is designed as a basic course for counsel with limited knowledge of franchise law and will introduce the basic legal considerations in franchising, whether you are representing a franchisor or a franchisee. The course will discuss the legal definition of a franchise, review the federal and state laws governing the franchise relationship, where to find information regarding franchise brands, the dangers of becoming an accidental franchise, and introduce some legal consi... More Info
$501General Credit -
On-DemandOnline & iOS/Android App
Investment Companies Current Topics
Join FINRA staff and industry panelists as they discuss topical advertising compliance issues concerning registered investment companies, including mutual funds, ETFs and closed-end funds. Panelists cover the compliance challenges associated with complex products such as single stock ETFs, crypto futures funds, non-transparent ETFs and ESG focused investments. The panel also includes discussions regarding regulatory interpretations and compliance tips. More Info
$501General Credit -
On-DemandOnline & iOS/Android App
Legal Issues in Divorce Cases: Equitable Distribution, Spousal Maintenance and Child Support
The CLE course will detail how New York, somewhat patterned on New Jersey equitable distribution law, instituted and applied equitable distribution to all divorces. The course will include the current applicable statutory and recent case law. The course will also include tips on how to argue for the best possible result for your client on all financial issues. As for spousal maintenance and child support, besides reviewing the current statutes and guidelines, and recent appl... More Info
$501General Credit