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.
MCLE Courses Available Online & iOS/Android App and with Live Webinars!
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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
The Regulation of Private and Foreign Funds in the Age of Cryptocurrency
This CLE course is designed to provide an overview of the regulatory regime applicable to private and foreign (i.e., non-registered) investment funds and the issues raised by the explosive rise of cryptocurrencies in the past several years. The course begins with an overview of the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Company Act, the Investment Advisers Act, the Dodd-Frank Act and the SEC and CFTC rules and regulations applying this legislative fr... More Info
$751.5General Credits -
On-DemandOnline & iOS/Android App
Defining Antitrust Markets in Platform Industries
The effects of the Supreme Court’s landmark antitrust decision in Ohio v. American Express continue to reverberate. Platforms have occupied the antitrust spotlight for several years now, but litigation unpacking and applying Amex to platforms is still in its early stages. This CLE course is designed to update generalists, antitrust practitioners, and inside counsel alike on how lower courts are interpreting and applying Amex when defining antitrust markets involving platforms. The prog... More Info
$501General Credit -
On-DemandOnline & iOS/Android App
Understanding Asset Protection
Learn what tools are available to more effectively shield yourself from the effects of any lawsuit by protecting your personal wealth. The panel will discuss the following Topics: History of asset protection in the United States and abroad Understanding which assets are/are not exempt under state and federal law Identifying and understanding different types of risk How to protect real estate and other physical assets How to protect securities and other liquid assets The differe... More Info
$751.5General Credits -
On-DemandOnline & iOS/Android App
Overview of FinTech Regulation and Compliance
A very high-level overview of some of the issues and challenges facing attorneys representing companies that are utilizing new technology to improve and automate the delivery of financial services (FinTech). Overview of the core principles and regulatory regimes in the United States governing key aspects of financial services including banking, securities, funds, money transmission, commodities, and anti-money laundering, and how these affect the operations of FinTech companies.... More Info
$501General Credit -
On-DemandOnline & iOS/Android App
Turnkey Real Estate Investments as Securities
Turnkey real estate investments have become extremely popular across the country for promoters and investors alike. The question is whether a turnkey real estate investment is nothing more than a vanilla real estate deal, or a security in disguise. The objective of this course is to clarify that description for real estate, securities and general practitioners. More Info
$501General Credit -
On-DemandOnline & iOS/Android App
Consolidated Audit Trail
Attend this program to hear how to prepare for compliance with the consolidated audit trail. During this session, panelists discuss how to prepare for compliance with the consolidated audit trail (CAT), including, firm obligations, deadlines, and resources. The panel also provides an update on the CAT National Market System (NMS) Plan. After attending this session, you will be able to: Review industry test release updates Discuss upcoming key dates Summarize how to prepare and... More Info
$501General Credit -
On-DemandOnline & iOS/Android App
Enforcement Developments
This session provides an overview of new developments and trends in Enforcement, including Enforcement priorities. Panelists discuss how a matter finds its way to Enforcement and what happens while in Enforcement. Panelists highlight noteworthy decisions and settlements that illustrate FINRA priorities and provide a view into the process. Panelists also provide guidance on regulatory and compliance practices. More Info
$501General Credit -
On-DemandOnline & iOS/Android App
Regulation Best Interest and Form CRS: Recent Observations and What to Expect
Attend this program to hear how firms are complying with Regulation Best Interest (Reg BI) and Form CRS (client relationship summary) rules. Join FINRA staff and industry panelists as discuss issues and observations about how firms are complying with the rules. Panelists share what they are seeing during compliance examinations, effective practices, and resources available to help firms comply with future initiatives. After attending this session, you will be able to: Discuss... More Info
$501General Credit -
On-DemandOnline & iOS/Android App
Doing More With Less: Challenges of a Small Firm Compliance Department
Attend this program to hear how to mitigate regulatory risk in addition to identifying opportunities to spend money wisely while fulfilling their duties as officers of their firms. A strong compliance program does not have to be expensive to be effective but needs commitment from all levels. Join FINRA staff and industry practitioners for a discussion on mitigating regulatory risks and determining how to more effectively allocate resources when establishing and maintaining an effecti... More Info
$501General Credit