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

Date(s):
January 29, 2020
Description:
Credit: 0 Credit Hours
 
Pre-registration is closed. On-site and webcast registration are available. To register for the webcast, please click here
 
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.
 
Pre-registration for this program is encouraged. As always, please feel free to share this invitation with colleagues. D.C. Bar membership is not required to attend. Food is available on a first-come, first-served basis. Doors open at 11:45 am. Lunch and networking begins at 12:00 pm. Program content starts at 12:15 pm.
 
**Please check this page in case of inclement weather for program status or call the D.C. Bar at (202) 737-4700 for more information.
 
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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 webinar participation. To access webinar registration, please click here. Please note: Requests for changes to registration from in-person attendance to webinar must be made by 10:00 am the day of the event.
 
Speakers: 
  • 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)
 
EARLY BIRD REGISTRATION
Registration Fee: $0 D.C. Bar Sponsoring/Related Community Member; $10 D.C. Bar Law Student Community Member; $15 Government/NonProfit; $20 D.C. Bar Member; $25 Non-Member
 
REGULAR REGISTRATION *after January 24, 2020
Registration Fee: $10 D.C. Bar Sponsoring/Related Community Member; $10 D.C. Bar Law Student Community Member; $20 Government/NonProfit; $30 D.C. Bar Member; $35 Non-Member
 
Please select Individual Registration above to register for this webcast.
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Jennifer Crawford, VP and Chief Litigation Counsel FINRA Department of Enforcement

James Day, VP and Chief Counsel FINRA Department of Enforcement

Russell Ryan, King & Spalding LLP

Emily Gordy, McGuire Woods LLP