Going the Distance: Fighting Charges Brought by FINRAs Department of Enforcement
Expired
Program Number
30208
Program Date
2020-09-24
CLE Credits
1
Defending a client against charges brought by FINRAs Department of Enforcement presents unique challenges for practitioners. Attorneys will learn how to respond to FINRA discovery requests, prioritize the competing demands that clients face in balancing employment, regulatory, and criminal defense objectives, and understand FINRAs expectations for registered representatives and broker-dealers. The program will provide guidelines and techniques concerning each phase of such a proceeding, the pre-charge investigation, the acceptance, waiver and consent (AWC) process, Wells submissions, discovery in anticipation of hearing, and the hearing itself, as well as post-hearing appeals and proceedings.
Available in States
- California
- Georgia
- New Jersey
- New York
- Texas Self Study
Program Categories
- Administrative Law & Regulations
- Banking & Finance Law
- Federal Courts
- Financial Regulatory
- Financial Services
- FinTech
- Litigation & Litigation Skills
- Litigation and Appeals
- Regulatory and Administrative Law
- Trial Skills
PROGRAM CREDITS
- Areas of Professional Practice : 1 Credit
