FINRA Supervision Rules: What You Need to Know in 2015

Broadcast Date: Friday, October 24, 2014 from 10:00 am to 12:00 pm (ET)
Kosha Dalal
Lawrence P. Stadulis
Merrill R. Steiner
Rogge Dunn

SPEAKERS' FIRMS:

About Financial Industry Regulatory Authority, Inc.

Website: https://www.finra.org/

About Stradley Ronon Stevens & Young, LLP

Counseling clients since 1926, Stradley Ronon has helped private and public companies – from small businesses to Fortune 500 corporations – achieve their goals by providing pragmatic, value-driven legal counsel. With seven offices throughout the mid-Atlantic region, our responsive team of more than 200 attorneys seamlessly addresses the full spectrum of our clients’ needs, ranging from sophisticated corporate transactions to complex commercial litigation. Stradley Ronon is nationally recognized for having one of the premier investment management practices in the United States, representing investment company clients with more than 1,000 separate mutual funds and assets under management approaching $2 trillion. Our investment management lawyers have substantial experience representing registered broker-dealers, including handling all aspects of initial formation and registration and interfacing with the SEC, FINRA and the IRS on broker-dealer matters.

Website: https://www.stradley.com

About Clouse Dunn LLP

Clouse Dunn was  founded by Rogge Dunn in 2002.  The Firm handles business and employment law matters for Fortune 500 companies and executives,  entrepreneurs and employees. The Firm has handled lawsuits, arbitrations and FINRA matters across the country. The Firm has been recognized as a top law firm in Texas and its Board Certified attorneys have been repeatedly honored as among the top 100 lawyers in Texas and top lawyers in Dallas by Texas Monthly and D Magazine. 

Website: https://www.cdklawyers.com/

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