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Since its inception, NYCLA has been at the forefront of most legal debates in the country. We have provided legal education for more than 40 years.
Join us when we share tried and true insights and guidance on managing FINRA virtual hearings:
Topics we will cover:
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
1.5 NY CLE Credits; 1.5 Skills
All Programs include 1 Affirmation and 1 Evaluation Form, and Course Materials.
To receive CLE credit for a program in Online Video Format:
Online Videos contain CLE codes that you must type into a supplied online affirmation form. 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: You can download course materials on the Online Video webpage.