New York, NY 03/03/2015
Linda Riefberg, a member of Cozen O'Connor's Commercial Litigation Department, will participate in a panel for compliance professionals and lawyers in the financial industry about the FINRA 2015 examination priorities. This program will focus on what FINRA has announced as its regulatory and examination goals for 2015, and the panelists will present the priority areas for review and assist attendees on preparing for their upcoming examinations, and how to take remedial and proactive steps to avoid regulatory findings.
Practices / Industries: Litigation, Securities Litigation & Enforcement
Attorneys: Riefberg, Linda