Florham Park and New York partner Tracey Salmon-Smith will speak at The Knowledge Group webcast titled “FINRA Arbitration and Enforcement in 2019 and Beyond: Hot Buttons to Consider” on July 31, 2019. Tracey will be joined by Debra Jenks, partner at Jenks & Harvey LLP and Rogge Dunn, partner at Rogge Dunn Group, PC.
The speakers will discuss the Financial Industry Regulatory Authority’s (FINRA) arbitration process and modifications in response to enforcement trends. With new issues emerging, it is important for companies and their counsel to be aware of key trends and developments in this area of law to ensure compliance and eliminate any potential risks.
Tracey will also lead the first segment of the webcast and specifically discuss the FINRA DR Task Force’s Recommendation Status Report from January 2019, arbitration statistics, Regulatory Notice 19-20, proposed changes to expungement, and Regulation Best Interest.
Learn more about “FINRA Arbitration and Enforcement in 2019 and Beyond: Hot Buttons to Consider.”