in
Advanced Search
Narrow Your Results
Search Within Your Results:

Display:

Seminars & Webcasts

On-Demand Learning

Publications

Faculty/Authors

News/Blogs

Event Calendar
May, 2013
Su M T W Th F Sa
2829301234
567891011
12131415161718
19202122232425
2627282930311

  • General Remove
  • ID Remove
  • 5.25 Remove
  • Seminars & Webcasts Remove
  • Corporate & Securities Remove

    • Showing 2 Results

    Sort by:
    List View Table View

    Fundamentals of Broker-Dealer Regulation 2013

    Seminar  SeminarGroupcast  Groupcast

    Major changes in broker-dealer regulation and the industry have come about as a result of the financial services crisis and the resulting regulatory reform. At the same time, FINRA’s overhaul of its rulebook as part of its Rulebook Consolidation process is almost complete. This program will provide attendees with a solid foundation in the regulatory regime applying to broker-dealers, including what to expect next regarding broker-dealer regulation. ...

    Securities Arbitration 2013

    Seminar  SeminarGroupcast  Groupcast

    The continuing national discussion regarding the fairness of arbitration has influenced the forums management of the process. FINRA has focused not only on the compositions of arbitration panels but the definition of who is a “customer” and what is “suitable” in securities cases. In 2013 FINRA will continue its focus on employment disputes and expungement applications. This year’s Securities Arbitration program will ...

    Sort by:
    Featured Faculty/Authors
    Lisa J. Sotto

    Lisa J. Sotto ~ Hunton & Williams LLP

    David W. Pollak

    David W. Pollak ~ Morgan, Lewis & Bockius LLP

    Katie M. Lachter

    Katie M. Lachter ~ Hinshaw & Culbertson LLP

     
    • FOLLOW PLI:
    • RSS
    • facebook
    • twitter

    All Contents Copyright © 1996-2013 Practising Law Institute. Continuing Legal Education since 1933.