Key FINRA Cases: Suitability/ Due Diligence
This webinar co-hosted with Brian Rubin and Adam Pollet of Sutherland took place on Dec 8th 2016. In it we looked back at the top FINRA & SEC enforcement actions from 2016, some key cases and some predictions for the securities industry in 2017.
You can download a full copy of the slides from this webinar.
|Read our blog post, "FINRA Fines 2016 - 7 Key Facts"|
|This webinar was co-hosted with Brian Rubin and Adam Pollet of Sutherland Asbill & Brennan LLP. To learn more visit www.sutherland.com|