Administrators on Administration: How to Use the Rules to Simplify the Process, and Arbitrators: How to Reach & Convince Them, from Securities Arbitration 2003: Simplifying Complexity

In recent years, securities arbitration has acquired most of the complexities of litigation, but few of the procedural and substantive safeguards. Our faculty of leading experts will show you how to understand and unravel these complexities so you can best represent your clients. For each subject, they will contrast the most complex and simplest ways to get your points across.

• Today's hypothetical case
• Good version - Bad version
• Central theme - Simplifying the process

Administrators on Administration: How to Use the Rules to Simplify the Process

Directors of Arbitration of NASD Dispute Resolution and of the New York Stock Exchange, Inc. (and selected members of their staffs) will explain:

• The role of the administrator
• How to use the rules and online information
• How to avoid pitfalls and mistakes
• Best practices
• How to complain
• NASDs "plain English" rule revisions
• What happens to pleadings
• Update from the SROs

Arbitrators: How to Reach & Convince Them

In the end - and from the beginning - it is the arbitrators who have to be convinced, not your client or adversary (unless the arbitration is viewed as a settlement device). How can you streamline your presentation to reach the arbitrator? When is too little not enough? When do the details become information overload? How do you get the arbitrators on your side? How do you get them to see the big picture so clearly that they could give your summation?

Our panel of experienced arbitrators will analyze:

• What works and what doesn't
• How to plead - Case study
• What documents are important
• Discovery - Best practices
• Asserted privileges and resulting ethical issues Motions or not?
• How to win - From suitability cases to stock analyst cases
• NASDs new online training of chairpersons

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