Hot Topics in Financial Services & Securities Litigation Seminar

A panel featuring top litigators from Ulmer & Berne, an industry expert from Duff & Phelps, and a special guest from the SEC will discuss hot button SEC issues and recent developments at FINRA, as well as what to expect throughout 2018.

Why You Should Attend
With the current administration in the White House, the winds of change are blowing for the financial services industry. At every level of the industry, professionals need to be equipped with the knowledge to make smart decisions, reduce risk, and perform with confidence. Topics will include:

  • The regulators: SEC vs. FINRA
  • Navigating the SEC and FINRA enforcement processes
  • Achieving best case results
  • Review of the 2017 SEC enforcement year
  • FINRA’s enforcement statistics, reduction in cases/fines, etc.
  • Recent court decisions
  • Predicting the future

Who Should Attend
This legal education program is designed for in-house counsel and legal staff, compliance professionals, bank, broker-dealer, and investment company counsel, retail bank, investment bank, hedge fund and commodity fund executives, and financial services risk managers.


7:30 – 8:00 a.m. – Registration, Breakfast, & Welcome

8:00 – 9:00 a.m. – Hot Button Issues in SEC Enforcement

9:00 – 9:30 a.m. – FINRA in 2018

There is no fee for this program.  Please click here to register.