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.
