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CANCELLED: The New Suitability Rule and Other Developments at FINRA

Thursday, December 6, 2012 12:30 PM to 1:30 PM
Suffolk University Law School - 120 Tremont Street, Room 275, Boston, MA

 

Description:

What are the impacts of the new rule for broker-dealers, supervision, enforcement compliance and what practitioners need to know to help their clients. Is this the codification existing law or a new set of rights and obligations? What will be the impact of the FINRA advisory notices regarding the new rule? Elizabeth Page, Director of the Boston Office of FINRA and Todd Coppi, Associate Director of the Boston Office of FINRA will discuss the New Suitability Rule and Other Developments at FINRA.

This is inaugural event of a new committee and practitioners from all sectors, counsel for investors and counsel for broker dealers both at firms and in-house and regulators are welcome.

 

Sponsoring Section/Committee(s):

Speakers:

  • Elizabeth Page
    • Financial Industry Regulatory Authority
  • Todd Coppi
    • Financial Industry Regulatory Authority
  • David H. Gibbs
    Moderator

 



 

Contact:

Jennifer Jones
jjones@bostonbar.org

 

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