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West Virginia CLE - Securities Courses

This is a listing of Securities CLE Courses for West Virginia. Please make your selection below of West Virginia CLE courses. Our courses are available on CDs, DVDs, Online & Mobile App. Click "Add" to purchase Individual CLE Courses. For more information about a particular CLE course, click on a course name.

Securities Courses

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Ethics Credits
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Common Examination Findings for Institutional Firms: 2019-2020 Update

This CLE program will highlight core regulations and best practices related to the supervision of institutional business activities. After attending this session, you will be able to understand the types of supervisory controls firms can implement to mitigate risks common to institutional firms. Upon completion of this CLE, you will be able to: Discuss regulatory change management; Implement the debt research rule; Summarize concerns regarding conflicts clearance; Understand how to put info...

General Credits
1.2
Price$50

Complex Products and Alternative Investments

This CLE will focus on the latest regulatory updates and due diligence obligations and effective practices in connection with sales of alternative investments; including: Private Placements, Online Distribution Platforms, Finders, Real Estate Investment Trusts, Opportunity Zone Funds, Regulation A+, Blind Pools and Capital Acquisition Brokers. Join FINRA staff and industry experts as they identify features and compliance risks of specific securities products and how to implement effect...

General Credits
1.2
Price$50

Enforcement Initiatives, Developments and Priorities: 2019-2020 Update

This CLE will highlight some of the changes that Enforcement has recently implemented to its business process. Panelists will also discuss developments and trends in enforcement, including enforcement priorities and the principles that guide Enforcement’s decision-making. Panelists highlight noteworthy decisions and settlements that illustrate FINRA priorities, and provide guidance on regulatory and compliance practices. Panelists will also provide information and insight on navigating enfo...

General Credits
1.2
Price$50

FINRA’s Suitability Rule and SEC’s Proposed Regulation Best Interest

This CLE program will focus on the key issues regarding FINRA’s suitability Rule 2111 and the SEC’s Proposed Regulation Best Interest Rule, including a review of their differences. Panelists provide practical advice on how firms and registered representatives can better understand customers and securities in order to comply with FINRA’s suitability obligations and prepare for the SEC’s proposed Regulation Best Interest Rule.

General Credits
1.2
Price$50

High-Risk Activity Impacting Retail Investors

Join FINRA staff as they share helpful insight on identifying and assessing activity of registered representatives as high risk and how that intelligence can be more broadly used to assess risk across and within branch offices. Upon completion, you will be able to: Learn effective practices for identifying and mitigating risk in the hiring process. Summarize ways to identify indications of high-risk activity as part of ongoing supervision, and ways to mitigate such risk, including heightene...

General Credits
1.2
Price$50

How FINRA Rules Get Made, Reviewed and Updated

Join FINRA staff and industry experts as they explain how a FINRA rule becomes a regulation. Panelists give an inside look into how the FINRA Retrospective Rule Review process works and how rules are selected for review. Panelists will also preview and discuss upcoming rule changes, proposals and other regulatory initiatives. Upon completion of this CLE program you will be able to: Discuss the Retrospective Rule Review Process; Review how the advisory committees are used; Identify and under...

General Credits
1.2
Price$50

Mark-Up Disclosure Requirements

This CLE focuses on FINRA and MSRB mark-up disclosure requirements. Panelists discuss securities covered by the rule, when mark-up disclosure requirements are triggered and recent guidance on how to calculate mark-ups based on prevailing market price. Panelists share their perspectives on effective practices and helpful tips they have identified. Upon completion of this CLE program you will be able to: discuss the latest MSRB guidance concerning mark-up disclosure requirements.

General Credits
1.2
Price$50

Reviewing Recent Enforcement and Regulatory Actions to Manage AML Risks

Join FINRA staff and industry experts as they review legal cases and enforcement actions impacting AML programs. Panelists will cover regulatory trends, potential vulnerabilities, and how you can address any pitfalls in your AML program. Upon completion of this CLE, you will be able to: Discuss recent AML enforcement actions published by FINRA, the SEC (Securities and Exchange Commission) and other regulatory agencies, criminal and governmental authorities. Discuss various methods...

General Credits
1.2
Price$50

Emerging FinTech Trends: 2019-2020 Update

Join FINRA staff and industry representatives as they discuss how recent developments in financial technology (FinTech) are disrupting the securities industry. Topics include RegTech (regulatory technology), artificial intelligence, identity authentication tools, big data/cloud computing and other advances in FinTech. Upon completion of this CLE, you will be able to: Discuss the main areas of FinTech that are driving industry change. Represent efficient practices around reacting to the...

General Credits
1.2
Price$50

Outside Business Activities and Private Securities Transactions: 2019-2020 Update

Outside business activities (OBAs) and private securities transactions (PSTs) are regulatory and examination priorities, as they can both result in conflicts of interest that firms must understand and, as necessary, mitigate. Join industry practitioners and FINRA staff, in this advanced session, as they cover conflicts arising from OBAs and PSTs, and keys to handling them and complying with regulatory requirements, including situation involving dually registered advisors. Panelists also discus...

General Credits
1.2
Price$50

Social Media and Digital Communications: 2019-2020

This CLE program will focus on the rapidly changing world of digital marketing and communications. The panel will cover a variety of topics, which will illustrate how to stay on top of this constantly evolving area. Upon completion of this CLE, you will be able to: Describe digital marketing and digital communications; Talk about instant, text and app-based messages in your firm; Discuss how to approach social media, both external and internal to your firm; Summarize how to handle video cont...

General Credits
1.2
Price$50

What Lawyers Need to Know About Cryptocurrency & Blockchain

This CLE program will explore the rapidly evolving hype and reality of blockchain technology, including recent legal developments and how to advise your clients. The following topics will be covered: data security, privacy, intellectual property and ownership, monetization of data, regulation, product liability, automated contracts, IoT advocacy, application program interfaces and ethical issues involved in data collection and sharing. Highlights of the Program include: The Internet of Th...

General Credits
3.4
Price$150

Market Regulation Priorities: Detecting and Preventing Misconduct

This CLE program provides updates on market regulation priorities, including current initiatives and rulemaking. This session focuses on market regulation priorities and sweeps. Panelists will share thoughts on equities, options and fixed income compliance programs. After attending this session, you will be able to: Understand Market Regulations’ initiatives, priorities and significant matters. Discuss major developments in equities, fixed income and options markets surveillance. D...

General Credits
1
Price$50

Outside Business Activities and Private Securities Transactions

This CLE program will provide guidance on effective practices for monitoring outside business activities and supervising private securities transactions. FINRA panelists discuss common OBA deficiencies found during examinations. Panelists share effective practices regarding policies and procedures for identifying, documenting and disclosing OBAs. FINRA will also discuss the recently proposed rule changes related to OBAs and PSTs. After attending this session, you will be able to: Unde...

General Credits
1
Price$50

Common Examination Findings and Effective Compliance Practices

This CLE program will include a discussion of common deficiencies noted during FINRA cycle examinations. The program will also provide guidance on taking corrective action and updating compliance procedures and practices based on lessons learned from common exam deficiencies. After attending this session, you will be able to: Discuss common findings in various regulatory areas and related supervisory deficiencies. Identify controls, procedures and processes that member firms are inco...

General Credits
1
Price$50

Common Examination Findings and Effective Compliance Practices (Medium and Large Firm Focus)

This CLE program provides guidance on common deficiencies noted during FINRA examinations of medium and large firms.. Industry practitioners discuss taking proactive compliance measures and corrective action in response to examination deficiencies and recommendations. Senior FINRA staff discuss the exam process from their perspective and provide examples of best practices. After attending this session, you will be able to: Understand the FINRA examination process and effective practice...

General Credits
1
Price$50

Effective Processes for Suspicious Activity Monitoring and Investigations

This CLE program provides guidance on suspicious activity monitoring and investigations in AML (anti-money laundering). Panelists discuss how to establish and implement policies and procedures as well as obligations for firms. Attendees will gain an understanding of the anti-money laundering regulations and steps firms can take to protect their organization. After attending this session, you will be able to: Understand AML program requirements. Discuss efficient practices on identifyi...

General Credits
1
Price$50

Enforcement Initiatives, Developments and Priorities

This CLE session provides an overview of the newly restructured Enforcement department, including how the department works with examination and surveillance groups across FINRA to develop Enforcement matters. The session will highlight some of the changes that Enforcement has recently implemented to its business process. Panelists will also discuss developments and trends in enforcement, including enforcement priorities and the principles that guide Enforcement’s decision-making. Panelists h...

General Credits
1
Price$50

Implementing a Risk-Based Program and Identifying Red Flags

This CLE program provides guidance on implementing an effective risk-based branch office inspection program. After attending this session, you will be able to: Understand FINRA’s Member Regulation Department’s approach to executing risk-based cycle and branch exams. Gain insight into how member firms prepare for, facilitate and learn from risk-based regulatory examinations along with effective practices from the FINRA perspective. Understand how FINRA uses technology, tools and data...

General Credits
1
Price$50

Suitability, Supervision and Surveillance

This CLE program addresses key issues regarding compliance with the suitability rule. Panelists discuss key issues regarding compliance with the suitability rule. They provide practical advice on how firms and registered representatives can better understand customers and securities in order to comply with the suitability rule. They also discuss the intersection of suitability requirements with recent timely industry issues, such as senior customers, sales of complex products, IRA rollovers,...

General Credits
1
Price$50

Alternative Investments and Current Issues

This CLE program discusses rules governing alternative investments, REITs and private placements. This session emphasizes the importance of understanding product features, characteristics and possible risks for purposes of suitability determinations. This program will also provide guidance on steps firms can take to comply with their due diligence and supervisory obligations. Panelists discuss the features of popular and new forms of complex products and their role in portfolio diversification...

General Credits
1
Price$50

Common Examination Findings and Compliance Effective Practices for Institutional Firms

This CLE program provides guidance on common deficiencies noted during FINRA cycle examinations of institutional firms, and issues that result in a cautionary letter. Industry practitioners discuss their experience during examinations and taking corrective action and updating compliance procedures and practices based on lessons learned from common examination deficiencies. After attending this session, you will be able to: Understand the FINRA examination process and how to create effe...

General Credits
1
Price$50

Detecting, Preventing and Investigating Fraud and Misappropriation

This CLE program provides information regarding current fraud schemes from the front line regulators. After attending this session, you will be able to: Understand emerging trends in securities fraud and identify potential threats. Identify potential red flags associated with different types of financial fraud. Know whom to contact to report potential fraud.

General Credits
1
Price$50

The Three Lines of Defense: Risk Management Supervision, Compliance and Internal Audit

This CLE program will provide guidance on the challenges facing compliance professionals. Separation of compliance and business supervision roles is becoming much more difficult. Join FINRA staff and industry practitioners as they discuss how their firms are defining the roles of supervisors and compliance personnel. The panelists discuss the three lines of defense and how their firms are applying the risk model. After attending this session, you will be able to: Compare and contrast t...

General Credits
1
Price$50

Working Together to Protect Senior Investors

This CLE program provides guidance on identifying and responding to issues and concerns of clients who are or will soon be seniors. Join representatives from regulatory agencies and firms to discuss rules and laws promulgated to assist firms in protecting senior clients, and others who may experience signs of diminished capacity, from financial abuse. Panelists will share techniques around staff and advisor education as well as effect operational practices. After attending this session, y...

General Credits
1
Price$50

Cyan, Inc. v. Beaver Country Employees Retirement Fund: What it Means; What We Can Expect

In a much-awaited decision on which courts and counsel have reached different conclusions for years, the United States Supreme Court held on March 20, 2018 that the Securities Litigation Uniform Standards Act of 1998 (“SLUSA”) does not strip state courts of jurisdiction over class action law suits brought exclusively under the Securities Act of 1933 (the “1933 Act”). The Supreme Court additionally held that SLUSA does not permit removal of class action claims brought solely under the 1933 Act...

General Credits
1.5
Price$75

Cryptocurrency, Blockchain and Smart Contracts: An Introduction

“Virtual currency,” “blockchain,” “smart contracts” – these words and phrases seem to be everywhere these days but do people really know what they mean. This CLE course will explain, in user-friendly terms, what virtual currency is, how it works and the legal and regulatory issues surrounding its use. The course also will explain and discuss the possible uses of the blockchain/distributed ledger technology beyond recording virtual currency transactions and the possible legal and regulatory i...

General Credits
2
Price$100

Trends in Securities Litigation

This CLE program will cover important trends in the filing of securities class actions, including the surge in the number of class actions filed. Sasha Aganin of Cornerstone Research, a leader in developing securities class action statistics, will provide data on the overall number of filings, the types of cases (including separate analysis of merger and non-merger cases), the industries most frequently targeted, the choice of Federal versus State Court, the districts and circuits pre...

General Credits
2
Price$100

Special Board Committees

Panel 1: Special Committees for Investigations and Litigation The panel will discuss the roles of special committees in investigations and litigation; defining the scope and delegation of authority; demands on boards, conflicts, independence; extent of inquiry; legal standard for adequacy of investigation; reports to the board, special committee reports to boards—written or oral; and waiver of privilege. Panel 2: Special Committees for Evaluating Transactions Our panelists...

Total Credits
2.7
Incl. 1 Ethics
Price$125

Raising Capital in the Internet Age: The Current State of Crowdfunding

The laws governing fundraising over the Internet are changing all the time, and new SEC rules recently took effect. On October 30 2015, the SEC issued final regulations to implement Title III of the JOBS Act. Regulation CF will permit a person or company to offer securities over the Internet for up to $1 million in a 12 month period. Regulation CF now joins two prior regulations implementing the JOBS Act: the regulations permitting Internet equity offerings only to accredited investors (a new...

General Credits
1.5
Price$75

Collateralized Debt Obligations and Credit Default Swaps: A Guide for Lawyers

Collateralized Debt Obligations (CDOs) and Credit Default Swaps (CDS) have played and continue to play prominent roles in the global capital markets. What's the difference between a CDO and a CLO? What are TruPs CDOs? And why are they so controversial? Cut through the headlines and get a real understanding of CDOs and CDSs, how they are structured and the litigation landscape regarding these investments today. This informative CLE course, presented by New York attorney and CDO and...

General Credits
3.3
Price$125

New Rule 506 and Equity Crowdsourcing: New Opportunities with a Cost

With the passage of the Jumpstart Our Business Startups Act (“JOBS Act”), securities issuers of all sizes are bound by new rules and regulations which also create new opportunities for fundraising within an evolving compliance regime. The new rules started to take effect in July 2013, when the Securities and Exchange Commission adopted a private offering exemption under which issuers and their agents are permitted to use general advertising and general solicitation to find investors. These new...

General Credits
1.5
Price$75

What Attorneys Need to Know About Capital Markets and Ratings

Ever wonder about what a rating means or why ratings are so important in today's global economy? What role did ratings play in the run up to the Credit Crisis? This informative CLE course, presented by New York attorney and ratings expert Jack Chen, explains everything a lawyer should know about ratings and rating agencies. The course examines the regulatory framework and explains who uses ratings and why they are here to stay. Any practitioner who works with debt securities, derivatives or...

General Credits
1.6
Price$75

Introduction to Structured Finance

RMBS, CMBS, CDOs, SIVs can seem like alphabet soup yet they play an integral part of the global economy and capital markets. Some will even allege that these sophisticated financial products were responsible for the credit crisis that nearly destroyed the global economy. What are these structured products, how do they work and who created them? This informative CLE course, presented by New York attorney and subject matter expert Jack Chen, explains the essential characteristics of structu...

General Credits
1.6
Price$75
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