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The Financial Industry Regulatory Authority (FINRA) continues its heightened regulation of crowdfunding platforms, trading volume overstatements, and digital signature forgery. Several policy initiatives also remain concerning complex product trading and “restricted firm” designations. Notably, FINRA recently proposed a new set of rule changes that aim to impose austere requirements for registered representatives seeking the expungement of customer disputes.
While these are likely to create drastic implications for arbitration proceedings, practitioners must look closely at any FINRA developments to develop an effective arbitration strategy.
Listen as experienced securities lawyers Debra A. Jenks, Esq. (Debra A. Jenks, P.A.) and Meredith Jowers Lees (Rumberger, Kirk & Caldwell, P.A) as they provide a comprehensive discussion of the latest trends and developments in FINRA arbitration. Speakers, among other things, will also offer critical steps and strategies in this rapidly evolving legal climate.
Key topics include:
- FINRA Arbitration: Latest Regulatory Trends and Developments
- FINRA Enforcement Priorities: Analyzing Its Implications
- Critical Steps and Strategies to Avoid Risks
- Best Compliance Strategies
- What Lies Ahead