Materials
| Registrant Information and Instructions | Available after Purchase | ||
| I.A. 30 Years of Securities Arbitration Evolution - Robbins & Ryder | Available after Purchase | ||
| I.B. FINRA’s Dispute Resolution Activities | Available after Purchase | ||
| II.A. Drafting the Answer - Hochman & Wong | Available after Purchase | ||
| II.B. FINRA Initial Pre-Hearing Conference Arbitrator’s Script | Available after Purchase | ||
| III.A. FINRA Notice to Members on Fee-Based Compensation | Available after Purchase | ||
| III.B. Ask an Advisor - Fee-based advisors vs. Commission-based - Lekushoff | Available after Purchase | ||
| III.C. Reverse Churning in Fee-Based Accounts - Radvany | Available after Purchase | ||
| III.D. Proposed SEC Rule Regulation Best Interest - 17 CFR Part 230 | Available after Purchase | ||
| III.E. In Re Edward D. Jones and Co. - E.D. Cal. Sept. 24, 2018 | Available after Purchase | ||
| III.F. New York Amends Regulation 187 now called Suitability and Best Interests in Life Insurance and Annuity Transactions | Available after Purchase | ||
| III.G. First Amendment to NYCRR 224 - Insurance Regulation 187 - NYS Department of Financial Services | Available after Purchase | ||
| III.H. Long and Winding Road PowerPoint - Shaffner | Available after Purchase | ||
| IV.A. Accelerant – Protecting Senior Investors | Available after Purchase | ||
| IV.B. Can Brokers and Advisers Abuse Customers by Following Instructions - Under-funded Pre-Retirees Pose a Trap for the Unwary - Frumento | Available after Purchase | ||
| IV.C.Vulnerable Investor Protection - Tales from the Broker’s Side - Grannum, Provost & Scarillo | Available after Purchase | ||
| V.A. Mediation Not Murder - Ten Tips for an Effective Securities Mediation - Yellen & Larkin | Available after Purchase | ||
| V.B. FINRA’s Mediation Program for Small Arbitration Claims | Available after Purchase | ||
| VI.A. From the Arbitrator’s Perspective - Experts & Damages - Robbins | Available after Purchase | ||
| VI.B. BrokerCheck Expungement Cases - A Primer and Proposals - Robbins | Available after Purchase | ||
| VI.C. Comment on FINRA’s Proposed Amendments to its Expungement Arbitration Rules - Regulatory Notice 17-42 - Robbins | Available after Purchase | ||
| VI.D. FINRA Regulatory Notice 17-42 | Available after Purchase | ||
| VI.E. FINRA Expungement How to Best Navigate Under New Rules - PowerPoint | Available after Purchase | ||
| VII. American Bar Association - College of Commercial Arbitrators Annotations to the Code of Ethics for Arbitrators in Commercial Disputes | Available after Purchase | ||
| Faculty Biographies | Available after Purchase | ||
| Securities Arbitration & Mediation Coursebook | Available after Purchase | ||
| Electronic Coursebook (11.4 MB) | Available after Purchase | ||