West Virginia CLE - Securities Law Courses
CLE Courses Available on DVDs, Audio CDs, USB Stick, Online & iOS/Android App and Live Webinars!
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On-DemandCD/DVD/USB, Online, iOS/Android App
Senior and At-Risk Investors
Join FINRA staff and industry experts as they discuss how FINRA rules and state requirements related to Senior and Vulnerable Adult clients can help firms service this growing client base and how to ensure your organization is protected. After attending this session, you will be able to: Review FINRA Rules 2165 & 4512 Discuss elder abuse prevention and protection act Review State Report and hold laws More Info
$501.2General Credits -
On-DemandCD/DVD/USB, Online, iOS/Android App
Hot Topics in FinTech
Join FINRA staff and industry practitioners as they discuss the growing area of FinTech (Financial Technology). The session includes a discussion on new and innovative ways firms are integrating fintech into their business models and the importance of a strong compliance structure to address regulatory obligations. After attending this session, you will be able to: Gain a perspective on how “FinTech” is defined by various industry stakeholders Discuss the supervisory challenges of t... More Info
$501.2General Credits -
On-DemandCD/DVD/USB, Online, iOS/Android App
Alternative Investments and Complex Products
This CLE program addresses developments related to alternative investments and complex products. The session emphasizes the importance of understanding product features, characteristics, and their supervisory challenges. After attending this session, you will be able to: Understand the latest regulatory developments related to alternative investments and complex products Discuss due diligence requirements and industry practices when recommending private placement and REIT securities... More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
Vendor Management: Due Diligence and Oversight
During this session FINRA staff and industry practitioners walk through various important considerations when choosing new vendors. Panelists discuss finding a technical solution that is a good fit for your firm, tips on performing an efficient due diligence review, contract issues, and advice on implementing the new software. After attending this session, you will be able to: Understand the limitations and risks of technology to find the right solution for your business needs Develop... More Info
$501.2General Credits -
On-DemandCD/DVD/USB, Online, iOS/Android App
Restricted Firm Obligations: What You Need to Know
Join FINRA staff as they discuss Rule 4111 (Restricted Firm Obligations). During the session, panelists review the new obligation and criteria for identification. After attending this session, you will be able to: Review new obligations Identify controls, procedures, and processes that member firms are incorporating to address these obligations Review identification metrics thresholds Discuss restricted deposit accounts More Info
$501.2General Credits -
On-DemandCD/DVD/USB, Online, iOS/Android App
Remote Supervision
Join FINRA staff and industry panelists as they discuss what they have learned from working remotely. During the session, panelists discuss effective controls, procedures, and processes that member firms are incorporating to address supervision in a remote work environment. After attending this session, you will be able to: Identify controls, procedures, and processes that member firms are incorporating to address supervision in a remote work environment Review lessons learned and... More Info
$501.2General Credits -
On-DemandCD/DVD/USB, Online, iOS/Android App
Options Markets: Recent Regulatory Issues
Join FINRA staff and industry panelists as they discuss regulatory issues impacting options markets. After attending this session, you will be able to: Discuss recent and ongoing regulatory initiatives Discuss supervision of options trading in customer accounts Identify effective controls, procedures, and technology processes More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
Market Structure: What Factors Are Driving Changes
During this session, FINRA staff and industry practitioners discuss current developments and future trends in the industry, including best execution guidance and payment for order flow issues. After attending this session, you will be able to: Understand Best Execution guidance Discuss effective practices for reviewing and documenting best execution Discuss technology available to process trades More Info
$501.2General Credits -
On-DemandCD/DVD/USB, Online, iOS/Android App
Hot Topics in Municipal Securities and Other Fixed Income
FINRA and MSRB staff discuss recent enforcement actions related to municipal securities (e.g., 529 Plans, municipal short positions), examination priorities, fixed income-related rulemaking, and common problems uncovered during Member Supervision and Market Regulation reviews. After attending this session, you will be able to: Review recent enforcement actions on 529s and muni shorts Discuss topics related to municipal securities Discuss recent and ongoing regulatory initiatives More Info
$501.2General Credits -
On-DemandCD/DVD/USB, Online, iOS/Android App
Gamification, Mobile Apps and Digital Engagement
Panelists share insights into the developing world of digital engagement practices, including gamification, in broker dealers’ mobile apps, marketing, and online platforms. Attend this session to hear how compliance and regulatory experts are responding to the rapidly developing use of data analytics to drive digital communications. Panelists discuss risks and benefits of digital engagement features and how to supervise them effectively. After attending this session, you will be... More Info
$501.2General Credits