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WEBCAST: FINRA Enforcement 2020: What’s New and What’s Next?

Date(s):
January 29, 2020
Description:
Credit: 0 Credit Hours
 
Registration is now closed. 
 
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.
 
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Sponsored by: D.C. Bar Corporation, Finance and Securities Law Community 

This program is available for both in-person attendance and live webcast participation. Webcast registration options can be found at the bottom of this page. Webcast registrants will receive access information by logging into the D.C. Bar website. You will need a headset or working computer speakers to hear the audio portion of the presentation.
 
Please Note: Requests for changes to registration from in-person attendance to webcast must be made by 10:00 am the day of the event.

Speakers:
  • Russell G. Ryan, King & Spalding LLP - Moderator 
  • 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 
 
EARLY BIRD REGISTRATION
Registration Fee: $0 D.C. Bar Sponsoring/Related Community Member; $15 D.C. Bar Law Student Community Member; $40 Government/NonProfit; $40 D.C. Bar Member; $55 Non-Member; $125 Group Webcast
 
REGULAR REGISTRATION *after January 24, 2020
Registration Fee: $20 D.C. Bar Sponsoring/Related Community Member; $15 D.C. Bar Law Student Community Member; $50 Government/NonProfit; $50 D.C. Bar Member; $65 Non-Member; $150 Group Webcast
 
Please select Individual Registration above to register for this webcast.
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