Emerging Issues in FINRA: Consolidated Rules and Amendments in 2016, Live Webcast

Emerging Issues in FINRA: Consolidated Rules and Amendments in 2016, Live Webcast

Event Date(s): 01/12/2016

Event Synopsis: Recently, the Financial Industry Regulatory Authority (FINRA) issued Regulatory Notice 15-07 which alerts its member firms to the new and amended consolidated rules on membership (FINRA Rule 0190), transactional payments to unregistered persons (FINRA Rule 2040), and sanctions (FINRA Rule 8311). Securities industry and other officials should have a thorough understanding of the risks and consequences of the new and modified standards for the businesses. In this two hour, LIVE Webcast, a panel of distinguished professionals and thought leaders assembled by The Knowledge Group will help financial industry executives and securities lawyers understand the important aspects of FINRA’s Consolidated Rules and Amendments. Speakers will discuss the Regulatory Notices and offer best practices in developing and implementing an effective compliance policy.

Speakers/Faculty Panel
 
Murphy & McGonigle, PC
Theodore R. Snyder
Shareholder
 
Ciklin Lubitz & O'Connell
Jason S. Haselkorn
Securities Litigation - Partner
 
Kaplan Zeena LLP
Richard A. D'Amura, Esq.
Partner

Event Press Release: http://www.pressreleasepoint.com/knowledge-group-has-scheduled-live-webcast-emerging-issues-finra