October 4, 2011

FINRA Midwest Region Compliance Seminar

Overview

Chicago partner James G. Lundy presented at the FINRA Midwest Region Compliance Seminar on October 4, 2011.

Jim served on the Information Security Panel, which covered the SEC’s Reg S-P, protecting customer information, the preservation and production of records consistent with regulatory requirements, and firm responsibilities when outsourcing to third parties.

Services and Industries

The Faegre Drinker Biddle & Reath LLP website uses cookies to make your browsing experience as useful as possible. In order to have the full site experience, keep cookies enabled on your web browser. By browsing our site with cookies enabled, you are agreeing to their use. Review Faegre Drinker Biddle & Reath LLP's cookies information for more details.