Arizona MCLE - All Courses
This is a listing of CLE Courses for Arizona. Please make your selection below of Arizona 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.
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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... More Info
$501General Credit -
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... More Info
$501General Credit -
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... More Info
$501General Credit -
Common Issues with Navigating the Changing Landscape of Multistate Taxation of Crypto Currency & Crypto Based Companies
State Taxation varies across every state in the United States. Specifically at a State and Local Tax (SALT) level, every jurisdiction has its own tax code and tax treatment for various applications. For example, the way California may classify revenue from a certain company is not the same as Texas will perceive the revenue. Of course, the Supreme Court of the United States has weighed in on limitations of a state’s power to tax, citing the Commerce Clause and various other constitutional cons... More Info
$501General Credit -
Common Mistakes Lawyers Make with Clients and How to Avoid Them
Many lawyers may not fully understand the Bar rules and ethical considerations regarding client representation and make ethical mistakes regarding whether to take on a client representation, continue the representation, and terminating the representation (and everything in between). This CLE course will address some very important ethical considerations to help lawyers avoid making mistakes with clients. More Info
$751.5Ethics Credits -
Common Traffic Court Cases: Do’s and Dont’s
Practical advice on how to handle traffic matters in local criminal courts with a focus on some of the most commonly charged offenses. This CLE lecture is for those attorneys who do not typically appear in traffic court but wish to provide competent advice and/or representation. Types of cases include but are not limited to Aggravated Unlicensed Operation, Speeding, Use of Portable Electronic Devices and Reckless Driving. More Info
$501General Credit -
Communications Compliance: Current Developments
This CLE program will discuss current communications compliance and marketing practices. Topics include recent guidance on how FINRA’s communications rules apply in a virtual environment, and how firms can communicate compliantly about ESG and other current investment trends. Panelists will also talk about the regulatory implications of complex products and services such as crypto assets and emerging technologies in the marketing compliance space. After attending this session, you... More Info
$501General Credit -
Compassionate Release: Covid-19 Effects On The Criminal Justice System
The impact of COVID-19 is being felt in areas that you might not expect, including that of prison sentences. This CLE course, presented by renowned attorneys Benjamin Brafman and Jeffrey Schwartz, will explain how to move for a reduced prison sentence based on COVID-19. The course will explain the various related provisions and requirements including Reduction in Sentence (RIS), Exhaustion Requirement, and the Extraordinary and Compelling Reasons Requirement. The specifics of a release... More Info
$751.5General Credits -
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... More Info
$501General Credit -
Complexities of Acquiring Control: Where the Fed’s Control Rule Meets Other Regulatory Definitions
The Federal Reserve finalized revisions to its approach for determining whether one company has control over another for purposes of the Bank Holding Company Act and the Home Owners’ Loan Act, as amended. While in many respects the final rule codified the Fed’s existing control standards, it also introduced new concepts and raised critical questions about the industry should implement the rule in practice. Over the last two years the industry has grappled with how to apply these revisi... More Info
$751.5General Credits