01/07/2014 01:00 p.m. - 02:00 p.m. EST
Banking + Financial Services, Capital Markets, Financial Institutions + Financial Services, and Broker-Dealer Compliance + Regulation
Anna T. Pinedo
For presentation materials, click here.
This One-Hour Briefing 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 include:
PLI will offer CLE credit.
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