Account Number
Password
 
  Help
 
Search
 
 
 

Calendar of Events


 
Securities Law Committee
 
Date: 01/17/2013
 
Location: The Chicago Bar Association, 321 South Plymouth Court, Chicago, IL 60604
 
Presented by: Securities Law
 
View Materials
LOGIN TO VIEW
 

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