Compliance and Legal Society New FINRA Communications Rule Seminar

Compliance and Legal Society FINRA Communications Rule Seminar

January 30, 2013
Hilton New York  

  • Member
    $50 per registrant
  • Non-member
    $85 per registrant
  • Member (Audio)
    $25 per registrant
  • Non-member  (Audio)
    $50 per registrant


SIFMA will host Tom Pappas, Vice President & Director of Advertising, FINRA and leading industry experts explore changes to FINRA’s communication rules, which become effective February 4. The panel will also discuss the new supervision standards for seminars and other public appearances, the new filing requirement for structured products and how social media fits in under the new rules.

Speaker Panel 

CLE Credit
CLE Credits available.


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