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Enforcement and Regulatory Update

August 18, 2010

Tampa Bay Broker-Dealer Compliance Group Meeting

Sutherland Partners Brian L. Rubin and Cheryl L. Haas are speaking at the August 18, 2010, Tampa Bay Broker-Dealer Compliance Group Meeting in St. Petersburg, Florida. Their presentation will include the following:

  • Study on FINRA Enforcement Actions/Sanctions
  • Hot Enforcement Issues:
    • Supervision of Email Systems
    • Compliance Officer Liability
    • Ponzi Schemes – OBAs, PSTs and Email Review
    • Reg D Offerings
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Videocast: FINRA’s 2016 Disciplinary Program:  “YUUUGE” Fines May Propel 2016 to Record-Setting Year
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Adam C. Pollet, Associate
Washington, DC
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