Rule 3a 4 common questions
In this segment from the MyComplianceOffice December Webinar, co-hosted by Sutherland Asbill and Brennan, LLP, Brian Rubin discusses Rule 3a 4.
Brian is the Washington office leader of Sutherland’s Litigation group and the Administrative Partner in charge of the Securities Enforcement and Litigation Team. Brian previously served as Deputy Chief Counsel of Enforcement at NASD (FINRA) and Senior Enforcement Counsel at the SEC.
You can download a full copy of the slides from this webinar.