Description
Total Credits: 1.00 | Areas of Professional Practice: 1.00
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Materials
| Registrant Information and Instructions | Available after Purchase | ||
| Front Pages | Available after Purchase | ||
| Speaker Biographies | Available after Purchase | ||
| 4a. Trends in Supervisory and Clearing Firm Liability - Timothy J. O'Connor, Esq. and Paul Carroll | Available after Purchase | ||
| 4b. Vicarious Liability of Clearing Firms - The Continued Grab at the Deep Pocket - Michael G. Shannon, Esq. and Ricardo DeBari, Esq. | Available after Purchase | ||
| 4c. Clearing Arrangements - Revisited - Henry F. Minnerop, Esq. | Available after Purchase | ||
| Coursebook - Securities Arbitration and Mediation 2017 (15.3 MB) | Download | ||
| Faculty Biographies (5.7 MB) | Download | ||
Alternate Options
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Telling Your Story Simply from Intake to Closing Statements (Audio Only)
Original Program Date: 04/06/2017 |
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Securities Industry Experts' Presepective and Securities Arb (Audio Only)
Original Program Date: 04/06/2017 |