SEC and FINRA Crystal Ball: What to Expect This Fall in Enforcement and Regulation
Holland & Knight Webinar
Holland & Knight's Financial Services Regulatory Team and Securities Enforcement Defense Team are hosting a roundtable discussion to explore the key issues that financial services organizations can expect to arise this fall from the U.S. Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) on hot-button rulemaking and enforcement topics.
We hope you can join us for this highly informative presentation.
Topics and Panelists:
SEC Rulemaking and Enforcement Trends Under Chair Gary Gensler: ESG, Cybersecurity, Digital Assets, SAB 121 and More
FINRA Arbitration Awards, Fines and Suspensions: 2022 and 2023 "Hot List"
Tricia DeLeon | Partner, Dallas