Free Advanced Training Video Courses

No Registration Required
The following courses do not require registration and may be accessed immediately by clicking on the video link.

 

Anti-Money Laundering Requirements and Suspicious Activity Reporting

This training module discusses anti-money laundering requirements and helps you know what to do if suspicious activity report (SAR) issues arise in arbitration proceedings. It will explain how suspicious activity reporting fits into anti-money laundering regulation. And it will help you understand and follow the confidentiality requirements for SARs. View the video on a PC (WMV 23.3 MB) or on a MAC (MOV 29.4 MB). (Note that it may take up to several minutes to download depending on your connection speed.)

Reference materials discussed in the training

 


 

Completing Your Arbitrator Expense Report

This training reviews key reporting requirements that will help arbitrators meet their obligations to comply with FINRA’s expense reporting procedures. It also provides an overview of the Guidelines for Arbitrator Reimbursement and offers step-by-step instructions on how to complete the Arbitrator Expense Report. Please note that completion of this training will not be reflected on an arbitrator’s Arbitrator Disclosure Report.

Step-by-step instructions

Reference materials discussed in the training


 

Operating the Digital Recorder for Offsite Hearings

FINRA Rule 12606 of the Code of Arbitration Procedure requires FINRA to make a tape, digital or other recording of every hearing. The arbitrator must be able to operate the recording device to ensure that the hearings are recorded as required under the Code. This video provides step-by-step instructions on how to operate the digital recorder for offsite hearings. Please note that completion of this training will not be reflected on an arbitrator’s Arbitrator Disclosure Report.

Step-by-step instructions 

 


 

Motions to Dismiss

This course focuses on the motions to dismiss rules that went into effect in February 2009. This course explains the three types of motions to dismiss that may be filed, and provides guidance to arbitrators on how to address motions to dismiss during an arbitration. View the video on a PC (WMV 22.0 MB) or on a MAC (MOV 20.3 MB).

Reference materials discussed in the training 

 


 

Explained Decisions

In 2009, FINRA implemented rules on explained decisions. To help arbitrators understand these new rules and apply them in an arbitration case, FINRA has developed a training module on explained decisions. View the video on a PC (WMV 16.6 MB) or on a MAC (MOV 22.0 MB). 

Reference materials discussed in the training