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Overview:

In this LIVE Webcast, a panel of thought leaders and professionals brought together by The Knowledge Group will provide and present an in-depth analysis of the fundamentals as well as recent developments in Demystifying the Current Landscape of Broker-Dealer Regulation: Hot Buttons Explored. Speakers will also present all important issues surrounding this significant topic. Join us for this Knowledge Group Webinar!

Credit:

Course Level:

Intermediate

 

Advance Preparation:

Print and review course materials

 

Method of Presentation:

Live Webcast

 

Prerequisite:

General knowledge of broker-dealer regulations

 

Course Code:

149682

 

NY Category of CLE Credit:

Areas of Professional Practice

 

Total Credits:

2.0 CLE

Speaker:

Meredith Jowers Lees, Partner
RumbergerKirk

Meredith Jowers Lees focuses her practice on commercial litigation, with extensive experience in securities and financial litigation. She has represented broker-dealers, including clearing brokers, in state and federal court and in FINRA arbitration in a wide variety of disputes including customer claims, employment disputes, member-to-member claims, fraud claims, suitability claims, churning claims, and trust-related claims.

Agenda:

Meredith Jowers Lees, Partner

RumbergerKirk

Date & Time:

Tuesday, November 23, 2021

12:00 pm to 2:00 pm (ET)

A recording will be available to view 24-48 hours after the live date.

Materials:

Coming Soon.

Please check back again later.

Who Should Attend:

Coming Soon.

Please check back again later.

SPEAKER

Meredith Jowers LeesPartner
RumbergerKirk

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