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Recent Trends and Key Issues in FINRA Arbitration and Enforcement


Level: Advanced
Runtime: 56 minutes
Recorded Date: November 13, 2023
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Agenda

        • Recent FINRA Arbitration Rule Changes
        • Third-Party Discovery Issues in FINRA Arbitration
        • Reg BI Update
        • Use Of social media For New Business
        • Communications With the Public and Digital Communications
                - Issues Related to Digital Communications Channels
                - Issues Related to Supervision and Recordkeeping for Digital Communications
                - Improper Use of Personal Phones
                        • Cybersecurity
                        • Anti-Money Laundering (“AML”)
                        • Potential Red Flag Third-Party Requests
For NY - Difficulty Level: Experienced attorneys only (non-transitional)

Description

The FINRA arbitration and enforcement landscape has undergone significant transformations in recent years. Among these changes include revisions to the arbitrator selection process, proposed regulations on the use of artificial intelligence, and adaptations to expungement proceedings. These developments underscore FINRA’s commitment to fortifying dispute resolution and enhancing regulatory oversight.

Thus, to effectively navigate the changing landscape, practitioners must stay abreast of these evolving compliance requirements.

Join experienced securities arbitration practitioners Rebecca A. Beers and Debra A. Jenks, Esq. as they delve into the latest trends and pivotal developments in FINRA arbitration and enforcement. The speakers will also provide invaluable insights on the current regulatory focus as well as provide best practices for maintaining compliance in this dynamic financial environment.

Provided By

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Panelists

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Rebecca Beers

Partner
RumbergerKirk

Rebecca Beers is a partner in the Birmingham office of RumbergerKirk and focuses on securities and commercial litigation. She represents broker-dealers and registered investment advisors in state and federal courts and in FINRA arbitration, litigating claims related to suitability, fraud, breach of fiduciary duty, failure to supervise, clearing broker liability, raiding, employment contracts, and U5 defamation. She also has substantial experience in class actions, insurance law, and employment matters. In addition, Rebecca has developed a wide-ranging knowledge of arbitration law, particularly in post-award litigation in courts and in the enforcement of arbitration agreements.

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Debra Jenks

Partner
Debra A. Jenks, P.A.

Ms. Jenks has over 35 years of legal experience representing financial institutions, wirehouses, independent broker-dealers, insured broker-dealers, investment professionals, officers and directors, and financial advisers in retail, industry, and employment disputes as well as in compliance and regulatory matters. She defends registered persons and entities in regulatory matters. She has represented retail and institutional investors in securities matters and arbitration.

CLE CREDITS

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