02/06/2014 08:00 a.m. - 10:00 a.m.
Banking + Financial Services, Capital Markets, Restructuring Financial Institutions, Financial Institutions + Financial Services, and Broker-Dealer Compliance + Regulation
Morrison & Foerster LLP 1290 Avenue of the Americas Floor 39 New York, NY 10104
Anna T. Pinedo
This seminar will provide a review of the FINRA rules applicable to public offerings, including FINRA’s new review process. We will discuss the compensation review process, conflicts of interest and QIUs, direct participation programs, and Regulation M notice requirements.
Topics of discussion will include:
California and New York CLE credit is pending.
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