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
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 Berry, Executive Vice President and Director of FINRA Dispute Resolution Services; Ralph Blascovich, Managing Director and Expert Witness, Bates Group; Carlos Provencio, Associate General Counsel, Interactive Brokers; Paula Shaffner, Partner and Chair, Securities Litigation and Enforcement, Stradley Ronon; Ellen Slipp, Mediator, 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.
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