FINRA 2020 Exam and Enforcement Priorities Roundtable
Friends and Colleagues:
The SRO and States Subcommittee of the ABA Securities Litigation Committee is pleased to announce its upcoming program, "FINRA 2020 Exam and Enforcement Priorities Roundtable."
The program will feature the following panelists:
Carrie Bechtold, Senior Managing Counsel at Wells Fargo Advisors;
Darya Geetter,Head of US Securities Regulatory Affairs at UBS;
Bari Havlik, Executive Vice President of Member Supervision at FINRA;
Jessica Hopper, Head of Enforcement at FINRA;
Andrew Lipton, Executive Director of Regulatory Relations at Morgan Stanley; and
Taryn Shelton, Associate General Counsel at UBS Wealth Management.
Wednesday, January 29, 2020
3:00 pm - 4:30 pm
Morgan Lewis, 101 Park Avenue, 39th Floor, New York, NY
CLE credits in NJ (via reciprocity) and NY are currently pending approval
