Arizona MCLE - All Courses
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Technology Governance: Mitigating Risk Throughout the Vendor Lifecycle
This CLE course dives into factors firms should consider when outsourcing activities or functions to third-party providers. Hear from panelists as they discuss how to mitigate vendor risk with strong technology governance programs that encompass the lifecycle of vendor engagement, from onboarding, performing ongoing due diligence, responding to events, and offboarding. This session will discuss: Vendor Management and Due Diligence Regulatory Notice 21-29 (FINRA Reminds Firms of their... More Info
$501General Credit -
Promoting Market Integrity: FINRA’s Role in Market Structure
Hear regulatory and industry perspectives on FINRA’s role in promoting market integrity and on the new and evolving rules such as current market structure proposals, securities lending and how transparency initiatives are shaping the market. This CLE discusses: New and emerging rules SEC market structure proposals, securities lending, and other transparency initiatives More Info
$501General Credit -
Modernizing Off-Channel Communications Supervision
Join panelists as they discuss observations from thematic reviews of off-channel communications such as text and social media platforms and effective techniques firms are using to provide oversight of their firms’ communications. This session will discuss: Communications Landscape Rule Requirements--Books and Records, Communications with the Public, and Supervision SEC and FINRA Enforcement Actions Observations from Thematic Reviews of Off-Channel Communications OSE-Facilitated Comm... More Info
$501General Credit -
Fixed Income Securities Regulatory Outlook
This CLE session addresses the latest regulatory focuses related to both fixed income and municipal securities, including Time of Trade disclosures, SEA Rule 15c2-11, and considerations firms should keep in mind with respect to exam priorities, findings, and enforcement actions. This session will discuss: Updates to SEA Rule 15c2-11 Time of Trade Disclosures, including Municipal Fund Securities and Market Discount Transaction Reporting Municipal short closeouts/ possession and co... More Info
$501General Credit -
Developments in Remote Supervision
This CLE course will explore the latest remote supervision developments including the remote inspection pilot program, amendments to supervision rules to cover Residential Supervisory Locations and risk-based supervision best practices. This session will discuss: Sunsetting of current COVID relief, and the implementation of Rules 3110.18 and 3110.19 How to functionally report residential locations and RSLs in Firm Gateway Remote supervision best practices and considerations FAQs fo... More Info
$501General Credit -
Top 10 Lease Mistakes & Pitfalls and How to Steer Clear of Them
This program will provide an overview of commercial real estate leasing and the common mistakes made by those drafting and reviewing such leases. Although geared towards landlords and the pitfalls they want to avoid, it will also address some tenant concerns and the best way to negotiate the terms of the lease, from both viewpoints. We will examine the most common provisions in a commercial lease, how to ensure that the parties are protected from unintended consequences and ways to m... More Info
$751.5General Credits -
The Latest in Private Placement Sales Oversight
Learn about regulatory developments, compliance obligations and effective compliance practices related to the sales of private placements, including relevant topics such as Regulation Best Interest, communications, due diligence and conflicts of interest. This session will discuss: Review regulatory developments, compliance obligations and effective compliance practices related to private placements, including discussion about Reg BI, Communications, Due Diligence and Conflicts of I... More Info
$501General Credit -
FINRA's Disciplinary Hearing Process
Hear from FINRA Enforcement counsel, defense counsel, and a hearing panelist as they broaden awareness about FINRA's disciplinary hearing process and highlight distinctions between self-driven hearings and administrative law judge hearings. This CLE course will discuss: The differences between FINRA hearings versus hearings by administrative law judges; The conflicts clearance process for panelists and hearing officers; The full lifecycle of a case from the pre-complaint phase throu... More Info
$501General Credit -
Financial Crimes: Outpacing the Threats
This CLE will explore how threat actors are attempting to defraud investors through tactics including market manipulation, new account fraud, cryptocurrency and generative AI. Panelists address the most prominent threats and share effective practices and resources to help firms proactively combat criminals. This session will discuss: • Threats: Microcap IPO manipulation and single stock ETFs for AML Fraud and Sanctions or Manipulative Trading topics New account fraud (includi... More Info
$501General Credit -
Crypto Assets: Trends, Regulatory Developments and Resources
Join this session to learn about the latest cryptocurrency regulatory developments including the crypto-assets retail communications sweep and rule proposal, current trends in crypto misconduct, and resources and guidance firms can leverage. This session will discuss: • Regulatory Developments: Crypto-assets retail communications sweep published in December 2023 Disclosure concerns with OBAs/private securities transactions and net capital issues Themes from crypto survey (reg... More Info
$501General Credit