FINRA Arbitration and Enforcement: A Year in Review and What Lies Ahead
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FINRA Arbitration and Enforcement: A Year in Review and What Lies Ahead

FINRA Arbitration and Enforcement: A Year in Review and What Lies Ahead

The FINRA arbitration and enforcement landscape has been continuously reshaped with rule changes as well as complications due to COVID-19 restrictions and the resulting change to remote work. Thus, all affected professionals must keep themselves abreast of the emerging updates in this space.

In this LIVE CLE Webcast from The Knowledge Group, a panel of thought leaders and professionals including Partner Pete Tepley will provide a review of FINRA Arbitration and Enforcement in 2021 and discuss what lies ahead for 2022. Speakers will discuss the challenges and changes in this space due to recent events and regulatory developments.

Some of the major topics that will be covered in this course are:

  • FINRA Arbitration Statistics
  • COVID-19 Implications to FINRA Arbitrations
  • Areas of Regulatory Focus
  • What Lies Ahead

Register or learn more