SRO Subcommittee of the ABA Securities Litigation Committee - FINRA Member Reg Sales Practice Forum

 

The SRO Subcommittee of the ABA Securities Litigation Committee is pleased to present our first panel of 2013.  The FINRA Member Reg Sales Practice Forum will feature Susan Axelrod (Executive Vice President, Member Regulation Sales Practice) and  Michael Rufino (Senior Vice President and Chief Operating Officer, Member Regulation Sales Practice). Firm representatives will be Jeffrey Silverman (Head of Client Litigation, Morgan Stanley), and Douglas Siegel (Head of WMA Compliance, UBS). The panel will focus on FINRA’s priorities for 2013 and how firms can best position themselves in this challenging regulatory environment.