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Securities Law Committee
 
Date: 01/16/2014
 
Location: The Chicago Bar Association, 321 South Plymouth Court, Chicago, IL 60604
 
Presented by: Securities Law
 

TOPIC: AVOIDING LIABILITY UNDER SEC REGULATION S-P
Richard March, Senior Regional Counsel of FINRA's Enforcement Department, will discuss how securities firms and financial advisors can avoid liability under SEC Regulation S-P. The discussion will entail a review of the essential components of the regulation as well as recently litigated and settled cases.

SPEAKER: Richard March, Financial Industry Regulatory Authority