[ON-DEMAND] Who’s Zoomin’ Who? Virtual FINRA Hearings

Who’s Zoomin’ Who? Virtual FINRA Hearings, Mediations and Developments in a Real Life World

1.5 NY Credits; 1.5 Skills; Non-transitional; 1.5 NJ Credits: 1.5 General

Member: $35 | Non-member: $50 

Course Description:

Join us when we share tried and true insights and guidance on managing FINRA virtual hearings:

Topics we will cover:

  • FINRA Dispute Resolution Services Developments and Updates
  • Tips and Techniques to Best Present on a Virtual Platform (first step: unmute yourself)
    • FINRA Zoom Arbitration and Expungement Hearings –Panel Conference, Pre-hearing, Hearing itself
    • Handling Exhibits
    • Expert Witness Testimony –Witnesses Preparation, Virtual Direct and Cross Examinations
    • Virtual Mediations & Breakout Rooms
  • A Look Forward –Are Virtual Hearings here to stay after the pandemic is over?


Program Co-sponsor: NYCLA's Securities and Exchanges Committee 

Program Chair: Susan L. Harper, Managing Director, Bates Group, Co-Chair NYCLA Securities & Exchanges Committee (moderator)

Faculty: Richard BerryExecutive Vice President and Director of FINRA Dispute Resolution ServicesRalph BlascovichManaging Director and Expert Witness, Bates GroupCarlos Provencio, Associate General Counsel, Interactive BrokersPaula ShaffnerPartner and Chair, Securities Litigation and Enforcement, Stradley Ronon; Ellen SlippMediator, Ellen Slipp Mediation Services


Original Tape Date: December 2, 2020

All Programs include: 1 Affirmation and 1 Evaluation Form and Course Materials.

To receive CLE credit for program in Online Video Format:

Online Videos are embedded with CLE codes that you must type into a supplied online affirmation sheet. Submit the online affirmation to the NYCLA CLE Institute to be issued a CLE certificate. We recommend that you watch the video as soon as possible.

We can only issue CLE credit if the law is still current.

Course Materials: The link to download course materials will be listed on the Online Video webpage.

Discounted member price: 35.00
You could save: 30.0%

Similar products

No products found