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.