FINRA Year-End Review & 2013 Preview
Original Program Date: December 13, 2012
During this free 60 minute webinar, a panel of FINRA executives review FINRA’s major regulatory activities of 2012 and preview priorities for 2013.
Panelists
- Rick Ketchum, FINRA Chairman and CEO
- Susan Axelrod, Executive Vice President, FINRA Member Regulation – Sales Practice
- Bob Colby, FINRA Chief Legal Officer
- Chip Jones, Senior Vice President, FINRA Member Relations (Moderator)
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Registration for the On-demand Webinar
For registration or technical questions call (800) 321-6273.
FINRA's webinars are the sole property of FINRA and the information provided is for informational and educational purposes only. The content of the webinars does not constitute any FINRA rule or amendment or interpretation to such rules. Compliance with any recommended conduct presented does not mean that a firm or person has complied with the full extent of their obligations under FINRA rules, the rules of any other SRO, or securities laws. Use of this webinar does not create a safe harbor from regulatory responsibility. This webinar is provided "as is". FINRA and its affiliates are not responsible for any human or mechanical errors or omissions. Parties may not reproduce the webinars in any form, nor reference them in any publication, without the express written consent of FINRA.
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