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Meeting Notices


  
Securities Law Committee
 
Date: 01/17/2013
 
Location: The Chicago Bar Association, 321 South Plymouth Court, Chicago, IL 60604
 
Presented by: Securities Law
 
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TOPIC: Richard March, Senior Regional Counsel of FINRA's Enforcement Division, will be discussing chief compliance officer liability in FINRA enforcement proceedings and will provide an overview and update of the outcomes of recently litigated and settled cases relating to this issue.

SPEAKER: Richard March, Financial Industry Regulatory Authority

 
The Chicago Bar Association
321 S Plymouth Ct
Chicago, IL 60604
(312) 554-2000
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