Wolper Participates in 2017 FINRA Hot Topics Webcast

Ulmer Speaking Engagement

Chicago Partner-in-Charge Alan Wolper participated in the ACA Compliance Group’s annual FINRA Hot Topics webcast on Tuesday, March 28. Alan led a discussion about the “areas of significance” outlined in FINRA’s 2017 Regulatory and Examinations Priorities Letter. Topics included potential issues and solutions involving:

  • high-risk brokers
  • senior investors
  • product suitability and concentration
  • outside business activity and private securities transactions
  • and cyber security.