Network Firm News

Tuesday, August 20, 2013

Complimentary One-Day Financial Services CLE SuperCourse in NYC
Approved for 7.0 CLE Hours by NYS CLE Board*

Be our guest on Friday, September 20, when experienced financial services practitioners from across the U.S. and Canada convene in New York City for a complimentary one-day CLE program on financial services law and litigation.  Breakfast and lunch at the City Bar Building (44th St. near Sixth Ave.) are included.


Topics to be addressed in pithy, fast-moving 20-minute sessions:

  • Litigating against FINRA and the SEC
  • 18 USC 1519: The Changing Face of Obstruction
  • Traditional and Alternative Products: Suitability and Supervisory Issues
  • FINRA Arbitration – Panel Selection
  • Whether Non-Member Registered Investment Advisors ("RIAs") Should Voluntary Agree to FINRA Arbitration
  • Regulatory Trends for RIAs
  • Federal Preemption of State Securities Law Claims
  • Impact of Canadian Class Actions on the US Capital Market
  • Discovery in FINRA Arbitration
  • Panel: Chief Compliance Officers Under Siege
  • Regulatory and Enforcement Actions Arising from Fiduciary Relationships
  • Continued Erosion of Rule 10b-5
  • Data Breach and Cyber Liability
  • Erosion of Over-Broad Class Actions
Breakout Discussion Sections (with coursebook materials) on:
  • Developments in Securities Liability of Attorneys, CPA's and Other Professionals
  • FINRA Arbitrations
  • White Collar Crime
  • Litigating Customer Disputes
This Financial Services CLE Supercourse is produced as a public service by The Network of Trial Law Firms (TRIAL.COM) and its 23 member law firms which also annually produce the highly-regarded Litigation Management Supercourse and other CLE programs.

Spend a day with us (until 3:45p) and meet other senior in-house counsel who manage financial matters.

Program agenda and registration form are on-line. We hope that you can join us. And please feel free to forward this invitation to others at your company who may have an interest.

Very truly yours,

Ellis R. Mirsky
Executive Director and General Counsel
The Network of Trial Law Firms, Inc.
303 South Broadway, Suite 222
Tarrytown, New York 10591
914-332-4400 Direct


* Approved by the State of New York CLE Board (Transitional and Nontransitional), Course BUS2443.  This course qualifies for CLE credit in California, Georgia, Louisiana, New Jersey, and Pennsylvania. We will apply to other states for approval as needed. 

Firm Blogs

Health Law Rx HR Defense
TN Labor Talk
IP Law Alert News Real Property and Environmental Law E-Discovery Law Alerts Employment Law Alerts
AL Appellate Watch White Collar Wire (Twitter)
Litigation Law IP Law
Affordable Housing Energy and Environment Hot Topics in the Middle Market Legal Diagnostics Life Sciences NP Privacy Partner Taxes
Professional Liability Midwest HOA Longterm Care Defense Missouri Property Tax Fire Science Law CPA Law Employer Law Bad Faith Physician Law Trucking Defense Wealth Planning
SWIPLit Emerging Business Labor & Employment and the Law