Market Regulation Series: Complex Products: Adapting to a Hostile Environment

Mr. Mandel is former chief of the New York office of the SEC’s Division of Broker-Dealer Enforcement and Mr. Wallace is a former vice president with FINRA’s Market Regulation Department.

Topics to be discussed include:

• Description of structured products


• Regulatory notices


• Suitability, NASD Rules 2310 and 2110, and FINRA Rule 2010


• Summary of enforcement activity

There is no cost to participate in this program; however, pre-registration is required. For additional information, please contact Katie Egan at [email protected].

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 1.5 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.

For additional program materials, please contact Katie Egan at [email protected].