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ON DEMAND: FINRA Enforcement 2020: What's New and What's Next?

Credit: 0 Credit Hours
Run Time: 82 Minutes 

**This is a previously recorded program, originally recorded on January 29, 2020.
Join current and former senior FINRA enforcement leaders in an unscripted conversation about recent structural changes and current priorities and trends in FINRA's Department of Enforcement, with audience participation encouraged.  Topics will include the impact of the FINRA 360 initiative on FINRA enforcement, developments in AML enforcement, coordination with the SEC and other regulators, insight into FINRA's ongoing self-reporting initiative for 529 Plan supervision failures, the impact of the Supreme Court's Kokesh and Lorenzo decisions (if any) on FINRA enforcement, and much more.

Sponsored by: D.C. Bar Corporation, Finance and Securities Law Community
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  • Jennifer Crawford, VP and Chief Litigation Counsel FINRA Department of Enforcement
  • James E. Day, VP and Chief Counsel FINRA Department of Enforcement 
  • Emily P. Gordy, McGuire Woods 
  • Russell G. Ryan, King & Spalding LLP (Moderator)
On Demand Registration Fees **discounted pricing offered for a limited time
$10 D.C. Bar Law Student Community Member
$20 D.C. Bar Corporation, Finance and Securities Law Community Member
$20 Government/Nonprofit
$30 D.C. Bar Member
$50 Non-member
Please select Individual Registration to register. 

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