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This is a listing of CLE Courses for Arizona. Please make your selection below of Arizona 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.

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Ethics Credits
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Current Developments in Advertising Regulation

This CLE program addresses current developments in advertising regulation. FINRA experts discuss FINRA’s proposed rule to permit investment planning forecasts and the MSRB’s proposed advertising rule changes. After attending this session, you will be able to: Discuss Revisions made to FINRA Rules 2210 (Communications With the Public) and Rule 2213 (Requirements for the Use of Bond Mutual Fund Volatility Ratings) in response to the retrospective review of its communications rules. Un...

General Credits
1
Price$50

Current Trends and Topics for Investment Company Communications

Join FINRA staff and industry panelists as they discuss advertising compliance issues concerning registered investment companies, including mutual funds, ETFs and closed-end funds. The panel includes discussions on current trends, changes to FINRA Rule 2210 and recent regulatory interpretations, including related performance. The panelists also share tips to strengthen the marketing and compliance relationship when developing compliant communications.

General Credits
1
Price$50

Helping Small Firms Navigate the Communications Rules

How do small firms stay in compliance with the communications with the public rules? FINRA staff and industry panelists answer audience questions and provide practical tips and helpful guidance as well as how FINRA can help small firms navigate the advertising rules. By the end of this session, you will be able to: Understand the challenges small firms face regarding advertising compliance; Learn about ways to address and mitigate some of these challenges; Know how to effectively...

General Credits
1
Price$50

JOBS Act Implementation

This session focusses on business and regulatory developments related to the JOBS Act, including recent innovations around how firms conduct business online. FINRA and industry experts discuss how firms can stay in compliance as they conduct public and private offerings under the new rules.

General Credits
1
Price$50

Labor and Employment Law Update: The Day of the $29.00 Hamburger is Coming!

This CLE program will discuss updates and new developments in labor and employment law, both New York State and federal. Specific topics will include: the difference between independent contractors and employees; the Freelance Isn’t Free Act; changes with regard to interns; New York State unemployment insurance law, including misclassification of employees; workers’ compensation; the New York Paid Family Leave Act; new required benefits; wage and hour updates, such as the tip credits, salary...

General Credits
1.75
Price$100

Variable Insurance Products; Current Advertising Issues

This CLE Program addresses some basic content and performance standards, selected topics such as supplemental hypothetical illustrations, complexity of contracts and investment options, and comparisons and the related regulatory challenges. Also discussed are a firm’s perspective with respect to their compliance review process and the typical regulatory challenges faced as well as a legal perspective on topics such as “materiality,” disclosures, and practical tips for complying. By the...

General Credits
1
Price$50

Getting the Deal Done: A Discussion of Common Pitfalls Facing Dealmakers When Negotiating Film and TV Deals

Recent high-profile cases demonstrate that even among the most experienced dealmakers, failing to pay sufficient attention to the details of some of the most common agreements can result in cratered deals, strained relationships and expensive disputes. With so much at stake, producers, writers, directors and financiers need to know when they are exposing themselves to these unnecessary risks. But how? This CLE program will focus on some of the biggest legal and business traps facing dealmakers...

General Credits
1
Price$50

The Complexities of Multijurisdictional Practice: Deciphering Rule 5.5

Many, if not most lawyers, engage in multijurisdictional (MJP) practice from time to time. For example, a criminal defense lawyer might be asked to represent a client in a state where she is not licensed. Or perhaps a lawyer is asked to travel to a state where he is not licensed to negotiate a contract. Some lawyers, those who practice immigration law for example, regularly engage in MJP. This is an increasingly important topic because MJP will only become more common in the future, especi...

Ethics Credits
1
Price$50

Trust Yourself: A Basic Guide to Using Trust Accounts for Legal Fees

This CLE presentation, intended for newer practitioners, covers some of the basics of using trust accounts for legal fees. Lawyers, especially those with high volume practices who accept smaller flat fees for cases, often want to avoid depositing upfront fees into their trust accounts. This presentation discusses when unearned fees paid upfront can be deposited directly into the operating account and weighs the pros and cons of doing so. It also addresses where to look to find the applicabl...

Ethics Credits
1
Price$50

1031 Exchanges: Rules to Succeed & Common Pitfalls

1031 Exchanges are a useful tool for investors, attorneys, title agents, and real estate agents. This CLE course will give attendees an overview to 1031 Exchanges, in addition to touching on all basic rules, regulations, benefits and other concepts necessary for a successful 1031 Exchange. Attendees will learn how utilizing a 1031 Exchange can not only help defer capital gains taxes on investment and commercial properties, but how it can be used as a tool to reinvest wealth and grow their inve...

General Credits
1
Price$50


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