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Getting the Jump on Sweeping Changes to FINRA's Complaint and Violation Reporting Rules

May 16, 2011 - May 19, 2011

NRS Education 26th Annual Spring Investment Adviser and Broker-Dealer Compliance Conference

Sutherland Partner Brian L. Rubin is speaking at the NRS Education 26th Annual Spring Investment Adviser and Broker-Dealer Compliance Conference, which is being held from May 16-19, 2011. Brian will present on "Getting the Jump on Sweeping Changes to FINRA's Complaint and Violation Reporting Rules," on the final day of the conference. He will also participate in a panel discussion on "FINRA Examination Priorities."

The conference will provide essential and recent information to compliance, legal, risk and operations professionals about key regulatory changes and mission-critical compliance practices, including focusing on the Dodd-Frank Wall Street Reform and Consumer Protection Act.

For more information about the conference or to register, click here.

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