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This year's Securities Arbitration program will feature FINRA Dispute Resolution leadership and arbitrators, as well as noted academics and experienced attorneys who represent both customers and industry. Our faculty will provide practical tips for arbitrating and mediating securities cases. The ethical challenges involved in the utilization of AI assistance, conflicts of interest, responsibilities to the organizational client, clients with diminished capacity, fairness to opposing counsel and the elimination of bias in the forum will be explored. Finally, they will take a look at the latest hot topics and future trends in securities arbitration for 2023.
What You Will Learn
After completing this program, participants will be able to:
- Understand recent developments in FINRA arbitration and mediation
- Recognize how diversity and inclusion is being prioritized in FINRA arbitrations
- Consider ethical considerations for advocates and neutrals in the FINRA arbitration forum
- Employ best practices when handling mediations
- Understand the new procedures governing expungements
- Stay current on hot topics and future trends in securities arbitration in 2023
- Earn up to one hour of Ethics credit depending on your jurisdiction. Please confirm approval for your jurisdiction in the credit information section.
- Earn one Diversity, Inclusion and Elimination of Bias Credit depending on your jurisdiction. Please confirm approval for your jurisdiction in the credit information section.
- Earn up to two Transitional Skills credits depending on your jurisdiction. Please confirm approval for your jurisdiction in the credit information section.
Program Level: Update
Prerequisites: Attorneys and allied professionals who represent customers, brokers or broker-dealers in securities arbitration, or those who are seeking to enter into the practice will benefit from attending. This program is also appropriate for independent arbitrators and mediators.
Advanced Preparation: None