Debra A. Jenks, Esq.
Partner | Debra A. Jenks, P.A.
Meredith Jowers Lees
Partner | Rumberger, Kirk & Caldwell, P.ALatest Updates on FINRA Arbitration Rules: Effective Litigation Strategies Explored | On-Demand Webinar
Broadcast Date: Monday, May 22, 2023 | 3:00 PM – 4:00 PM ET
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:
- 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
Agenda:
SEGMENT 1:
Debra A. Jenks, Esq., Partner
Debra A. Jenks, P.A.
&
SEGMENT 2:
Meredith Jowers Lees, Partner
Rumberger, Kirk & Caldwell, P.A
- 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
Who Should Attend:
- Arbitrators & Mediators
- Alternative Dispute Resolution Lawyers
- Securities Lawyers
- Corporate Attorneys
- General Counsel
- Legal Executives
- Chief Compliance Officers
- Finance Managers
- Investment Managers
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
Course Code: 1410515 | Total Credits: 1.0 CLE
Instructions for Participating the Live Webinar
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- 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.
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- Support: If you have any questions, please refer to the email instructions or contact support: support@theknowledgegroup.zohodesk.com.