CLE Course Details

Guiding Witnesses Through The Minefield of FINRA On-The-Record Interviews (OTRs)

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Price: $29
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  • Description

    On-the-record interviews (OTR’s) are a key technique for Financial Industry Regulatory Authority investigations. This CLE course will explain FINRA’s OTR methodologies and how to best prepare to represent witnesses during these types of proceedings. The course will explain the overall goals of FINRA as well as provide goals for witnesses as well as strategies for what they should avoid.

  • Instructor Bio

    Thomas McCabe

    Thomas J. McCabe, Principal of The McCabe Law Firm, P.C., (, has over 35 years experience in the area of securities regulation. He worked for two self-regulatory organizations, the New York Stock Exchange and the American Stock Exchange, before he began his career in private practice in 1985. Mr. McCabe has represented many broker-dealers and securities professionals in all aspects of SEC, FINRA and self-regulatory inquiries, investigations, disciplinary proceedings, arbitrations and litigation. You may contact me at: (917) 597-8221 or,