Rebecca Beers
Partner | RumbergerKirk
Debra A. Jenks, Esq.
Partner | Debra A. Jenks, P.A.Recent Trends and Key Issues in FINRA Arbitration and Enforcement | On-Demand Webinar
Broadcast Date: Monday, November 13, 2023 | 12:00 PM – 1:00 PM ET
The FINRA arbitration and enforcement landscape has undergone significant transformations in recent years. Among these changes include revisions to the arbitrator selection process, proposed regulations on the use of artificial intelligence, and adaptations to expungement proceedings. These developments underscore FINRA’s commitment to fortifying dispute resolution and enhancing regulatory oversight.
Thus, to effectively navigate the changing landscape, practitioners must stay abreast of these evolving compliance requirements.
Join experienced securities arbitration practitioners Rebecca A. Beers (RumbergerKirk) and Debra A. Jenks, Esq. (Debra A. Jenks, P.A.) as they delve into the latest trends and pivotal developments in FINRA arbitration and enforcement. The speakers will also provide invaluable insights on the current regulatory focus as well as provide best practices for maintaining compliance in this dynamic financial environment.
In this webinar, you’ll learn:
- Regulatory Landscape: An Overview
- Analysis of Notable Arbitration Cases
- Enforcement Priorities and Strategies
- Emerging Dispute Resolution Trends
- Best Compliance Practices
Agenda:
Rebecca Beers, Partner
RumbergerKirk
- Recent FINRA Arbitration Rule Changes
- Third Party Discovery Issues in FINRA Arbitration
- Reg BI Update
Debra A. Jenks, Esq., Partner
Debra A. Jenks, P.A.
- Use Of social media For New Business
- Communications With the Public and Digital Communications
- Issues Related to Digital Communications Channels
- Issues Related to Supervision and Recordkeeping for Digital Communications
- Improper Use of Personal Phones
- Cybersecurity
- Anti-Money Laundering (“AML”)
- Potential Red Flag Third-Party Requests
Who Should Attend:
- Banking & Finance Lawyers
- Securities Law Attorneys
- Alternative Dispute Resolution Attorneys
- Regulatory Attorneys
- Financial Advisors
- Compliance Officers
- General/In-house Counsel
Register for this course by clicking the “Take this Course” at the top of the page.
CLE Credit:
Course Level: Intermediate | Advance Preparation: Print and review course materials
Method of Presentation: On-Demand Webinar | Prerequisite: General knowledge of FINRA arbitration
Course Code: 1410809 | Total Credit: 1.0 CLE
Instructions for Participating the Live Webinar
-
- Please Register for the course by clicking the "take the course: button if you have not already registered.
- Check Your Email – 24 hours before the webinar, you will receive an email with all necessary instructions, including access details and course materials. This information will also be posted here in this window when it is available.
- Download Course Materials – Course materials will be available for download **24-48 hours before** the live webinar. Be sure to review them in advance. The Link to download is available by clicking the lesson tab.
- Join the Webinar – Follow the instructions in the email to access the live broadcast at the scheduled time.
- Note the Secret Words – During the webinar, secret words will be announced periodically. Please write them down.
- Take the Quiz – After the webinar, click on the quiz link below and enter the secret words to complete the quiz.
- Print Your Certificate – Upon completing the quiz, you will be able to print your Certificate of Attendance, which includes instructions on how to obtain CLE, CPE, or other applicable credits for the course.
- On-Demand Access – The on-demand version of this course will be available 24-48 hours after the live webinar. If you miss the live presentation or need to review the content, you will have access to the on-demand version as an enrolled student. To access on-demand content, click the lesson and follow the instructions.
-
- Support: If you have any questions, please refer to the email instructions or contact support: support@theknowledgegroup.zohodesk.com.