Arizona MCLE - Securities Law Courses
This is a listing of Securities Law 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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Capital Formation Developments
Capital formation remains a vital engine for economic growth—but in today’s rapidly evolving financial environment, legal professionals must navigate a shifting landscape of regulation, innovation, and market dynamics. This CLE course offers attorneys a comprehensive overview of the latest developments impacting capital raising activities and firm responsibilities. Attorneys will examine new and emerging opportunities to support the capital-raising process, including how firms are adapt... More Info
$501General Credit -
Complex Products: New Developments and Compliance Considerations for Retail Firms
As complex investment products become increasingly prevalent in the retail market, attorneys and compliance professionals face heightened challenges in navigating legal risk, regulatory scrutiny, and investor protection obligations. This 60-minute CLE session—designed for legal and compliance professionals in broker-dealers, investment firms, and regulatory roles—offers a comprehensive look at the evolving supervisory landscape, with a focused examination of Registered Index-Linked Ann... More Info
$501General Credit -
Compliance & Legal Trends
In a financial and regulatory environment marked by rapid transformation, legal professionals play a critical role in guiding firms through evolving compliance expectations. This CLE course offers attorneys a forward-looking discussion on the emerging trends and strategic priorities shaping the securities industry—and what these developments mean for legal and compliance teams. Join industry leaders as they explore how firms are adapting to significant business, regulatory, and technolo... More Info
$501General Credit -
How to Use Data to Drive Effective Oversight
As data analytics become central to regulatory compliance, legal professionals must understand how firms use data to guide surveillance and oversight. This CLE session offers attorneys a practical look at how firms—large and small—are adopting risk-based, outcome-driven approaches to compliance through data. The course will discuss firm strategies, share FINRA’s latest intelligence resources (including contributions from StratIntel and the FIU), and explore how enhanced surveillance too... More Info
$501General Credit -
Keeping Current With Fixed Income Securities
This CLE session offers attorneys a timely and in-depth overview of current legal and regulatory developments in the fixed income securities markets. Featuring staff from FINRA and the MSRB, the program will explore recent enforcement actions, evolving rule interpretations, and practical compliance guidance relevant to firms operating in this space. Attendees will gain insight into how current regulatory priorities are shaping supervision, reporting obligations, and firm conduct. Topics... More Info
$350.75General Credit -
Legal Risk and Regulatory Strategy: A Conversation with FINRA Senior Leaders
This CLE course, tailored for legal and compliance professionals in the financial industry, addresses key FINRA regulatory topics based on audience questions. It provides actionable insights to navigate the evolving regulatory landscape. What You Will Learn FINRA Forward Initiatives: Understand Rule Modernization, Empowering Compliance, and Cybersecurity/Fraud initiatives, and their impact on your firm. Capital Formation: Explore regulatory considerations for raising capital while ensuring... More Info
$501General Credit -
Communication Supervision Trends and Effective Practices
This CLE course offers a comprehensive exploration of critical issues in communications supervision, with a focus on emerging trends in off-channel communications and social media. Join industry experts and regulatory professionals as they provide practical insights into the latest supervisory challenges, share key examination findings, and discuss strategies for enhancing compliance programs. Key Topics Include: Off-Channel Communications: Examination findings and best practices for... More Info
$350.75General Credit -
Filing Requirements and Due Diligence Obligations for Public Offerings and Private Placements
Join FINRA staff and industry experts for an in-depth discussion on the regulatory landscape of registered and unregistered offerings. This CLE course covers essential filing requirements, due diligence practices, and conflict-of-interest management strategies for legal professionals. Key Topics: Filing requirements for both registered and unregistered offerings Due diligence on issuers and investors for unregistered offerings Key considerations for registered offerings, including... More Info
$350.75General Credit -
The State Of The Art of Investment Advisor Regulations
This CLE course explores the latest developments in Investment Adviser Regulation, focusing on practical steps for investment advisers in light of the Fifth Circuit's decision to vacate the SEC's recent Private Investment Adviser regulations. We'll examine why the SEC chose not to appeal the ruling and discuss the implications. The course will also cover emerging trends and best practices in artificial intelligence, the Marketing Rule, and other recent regulatory changes. Addit... More Info
$501General Credit -
Compliance and Legal Trends in The Financial Industry
Join industry leaders for an in-depth discussion on the latest legal trends, critical focus areas, and innovative strategies shaping legal and compliance functions within financial firms. This CLE session will provide valuable insights into how these changes are impacting the sector and share their approaches to navigating evolving business, regulatory, and technological landscapes. Key topics will include: Regulatory Burden: Understand the complexities and increasing demands of re... More Info
$501General Credit