Financial Industry Regulatory Authority (FINRA) Charged TD Ameritrade

Wednesday, August 28, 2024

04:00 PM - 05:00 PM Central Daylight Time

Please join us for a presentation on recent developments regarding enforcement and examination trends.

TOPICS WILL INCLUDE:

Developments with Cash Sweep
SIFMA: Big Securities Litigation Win
Litigating with Regulators
Recent Developments – Chevron

For more information on this event, please contact Gabriel Aviles at gabriel.aviles@morganlewis.com at least 48 hours prior to event date.

CLE credit: CLE credit is currently pending approval in: CA, CT (via reciprocity), FL, IL, NJ (via reciprocity), NY, PA, TX and WA. Those seeking CLE credit in any other state/jurisdiction may be provided with a General Certificate of Attendance.