In times of market turmoil, it is critical for financial industry counsel and compliance officers to stay abreast of trends and changes at FINRA, including new developments in FINRA arbitration as well as exam and enforcement priorities.
On Thurs., June 6, the Murphy & McGonigle 2019 Breakfast CLE Series will present the CLE program, “FINRA Arbitration and Enforcement: A Mid-Year Update.” The program will be led by Claire Tafelski, Deputy General Counsel, Stifel Financial Corporation; and Ted Snyder and Heather Middleton of Murphy & McGonigle’s Regulatory Enforcement Defense Practice.
The program begins with registration and breakfast from 7:30 – 8:00 am, followed by the CLE presentation from 8:00 – 9:00 am. It takes place in Murphy & McGonigle’s New York office (1185 Avenue of the Americas).
The CLE presentation will cover developments in the industry and regulatory priorities and provide practical tips for keeping firms in compliance.
To RSVP to the June 6 event, please respond to: firstname.lastname@example.org.