The SRO Subcommittee of the ABA Securities Litigation Committee will be conducting its first panel of 2015, “The FINRA Exams and Priorities Forum,” on February 24, 2015.
The program will feature three senior FINRA officials:
Michael Solomon, Regional Director
William St. Louis, District Director
Scott Gilbert, Senior Examination Director
The following panelists will present the industry point of view:
Debra Roth, Head of Compliance, Regulatory Group, Morgan Stanley
Joan Schwartz, Chief Legal Officer, Pershing LLC
Bressler principal, Andrew Sidman, Co-Chair of the SRO Subcommittee, will serve as a co-moderator of the panel.