Join Steptoe for a complimentary webinar and interactive discussion about the Financial Industry Regulatory Authority's (FINRA) 2021 priorities with senior officials from FINRA and Charles Schwab. We will also discuss industry trends and enforcement developments and their impact on market participants.
Date: Tuesday, May 4, 2021
Time: 2:00 p.m. - 2:45 p.m. ET
Couldn't make it? Sign up here and receive the link to listen on demand at a time that suits you.
Topics for discussion include:
- FINRA's 2021 examination priorities
- Regulatory compliance during the COVID-19 pandemic
- Enforcement initiatives and developments
- Industry trends and emerging risks
- James Day, Vice President and Chief Counsel, Enforcement Department, FINRA
- KC Waldron, Vice President Compliance Regulatory, Charles Schwab
- Erica Gerson, Partner in Steptoe's Financial Services practice; and former Associate Director in FINRA's National Cause and Financial Crimes Detection Programs department and FINRA Enforcement attorney