Please mark your calendars for a panel discussion on Examination Priorities and Trading Issues, presented by Foley’s Securities Enforcement & Litigation Practice.
This program, the second in our three-part Market Regulation Series, is an excellent opportunity to gain insight into these questions and more. The panelists, featuring regulators, industry professionals, and Foley’s seasoned attorneys, will discuss issues affecting overall compliance and trading in particular. The format is structured to allow a give-and-take on these issues and to provide in-depth discussion.
The schedule for this program is as follows:
8:00 a.m. – 8:30 a.m.
Breakfast and Registration
8:30 a.m. – 8:45 a.m.
Welcome and Greeting
8:45 a.m. – 9:45 a.m.
First Things First: FINRA’s Regulatory Priorities
9:45 a.m. – 10:00 a.m.
10:00 a.m. – 11:00 a.m.
It’s Not Your Father’s Exchange: Trading Issues
11:00 a.m. – 11:15 a.m.
11:15 a.m. – 12:15 p.m.
Locating Answers for Short Sales Questions
12:15 p.m. – 1:30 p.m.
Roundtable Q & A
Lunch will be provided.
There is no cost to participate in this program, but pre-registration is required. Please contact Katie Patterson at firstname.lastname@example.org for more information.
Foley & Lardner LLP will apply for CLE credit after the program, wherever applicable. Foley & Lardner LLP certifies that this activity has been approved for California MCLE credits by the State Bar of California in the amount of three General credits. Foley & Lardner LLP is a State Bar of California MCLE approved provider. Please note that participants must be in attendance on the date of the event; credit may not be obtained by viewing and/or listening to a program recording after the event.