Join Ulmer partners Alan M. Wolper and Michael A. Gross as they address hot topics, including recent rule changes, exam priorities, and other FINRA developments....more
1/25/2021
/ Banking Sector ,
Broker-Dealer ,
Chief Compliance Officers ,
Continuing Legal Education ,
Corporate Counsel ,
Examination Priorities ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Institutions ,
Financial Services Industry ,
Fund Managers ,
Investment Banks ,
Investment Companies ,
Retail Banks ,
Risk Management ,
Webinars
Michael Gross and Alan Wolper will discuss outside business activities, the 2019 report of exam findings and observations, and internal changes at FINRA.
...more