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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.
Some of the major topics that will be covered in this course are:
- Regulatory Landscape: An Overview
- Analysis of Notable Arbitration Cases
- Enforcement Priorities and Strategies
- Emerging Dispute Resolution Trends
- Best Compliance Practices