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)