Learn how FINRA conducts its enforcement investigations with specific focus on how technology can help. Topics will include:
- Rule 8210 Request for Documents
- Technology Considerations
- On the Record Testimony
- Confidential Treatment
- Sanctions
- Acceptance, Waiver and Consent
- Contested Hearings
- Best Practices
Presented by Heather B. Middleton, Richard N.P. Naylor, Theodore R. Snyder (all of Murphy & McGonigle) and Claire Tafelski (Deputy General Counsel, Stifel)
