Words to the Wise: Lessons Learned the Hard Way

This program, the latest installment in our ongoing Market Regulation Series, featured regulators, industry professionals, and Foley attorneys speaking on topics such as:

• Taming the FINRA Beast: An Insider’s Perspective


• The Market Access Rule: Practice Pointers and Sanity Checks


• Communicating with Regulators: Avoiding Individual Liability and False Statements

If you have any questions, please contact Brook Radford at bradford@foley.com.

Stephen Bedell, Kathryn Trkla, Thomas Krebs, Dean Jeske, and Ellen Wheeler were the Foley attorneys responsible for this program.