Free Video Courses - Advanced Arbitrator Training
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.
Reference materials discussed in the training
- Anti-Money Laundering Requirements and Suspicious Activity Reporting (PDF 470 KB)
- Sample Suspicious Activity Report
- FIN-2010-A014—Department of the Treasury Financial Crimes Enforcement Network Advisory: Maintaining the Confidentiality of Suspicious Activity Reports
- FINRA Rule 3310—Anti-Money Laundering Compliance Program
- Financial Crimes Enforcement Network (FinCEN)
- Law Enforcement Cases—Case Examples
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.
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 below.
Reference materials discussed in the training