Responding to FINRA Investigations: Ins and Outs, Best Practices and Technology Considerations

Event Date(s): 10/11/2017

Learn how FINRA conducts its enforcement investigations with specific focus on how technology can help. Topics will include:

  • Rule 8210 Request for Documents
  • Technology Considerations
  • On the Record Testimony
  • Confidential Treatment
  • Sanctions
  • Acceptance, Waiver and Consent  
  • Contested Hearings
  • Best Practices

Presented by Heather B. Middleton, Richard N.P. Naylor, Theodore R. Snyder (all of Murphy & McGonigle) and Claire Tafelski (Deputy General Counsel, Stifel)