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Join Ulmer partner Alan M. Wolper as he addresses hot topics including FINRA's oversight of Reg BI, trends in enforcement and arbitration filings, and perspective whether FINRA would. ....
Michael A. Gross as they address hot topics, including recent rule changes, exam priorities, and other FINRA developments. CLE Credit + On Demand: This webinar is pending approval for 1 hour of CLE credit in Illinois, Kentucky, Ohio, and Pennsylvania for the live and on-demand viewings. For an optimal at-home viewing experience, it is highly recommended that viewers watch directly from their home WiFi connection and log out of any work terminal. Questions? Contact: ....