FINRA Exams and Priorities Forum

The SRO Subcommittee of the ABA Securities Litigation Committee will be conducting its first panel of 2015, “The FINRA Exams and Priorities Forum,” on February 24, 2015.

 

The program will feature three senior FINRA officials:

Michael Solomon, Regional Director

William St. Louis, District Director

Scott Gilbert, Senior Examination Director

 

The following panelists will present the industry point of view:

Debra Roth, Head of Compliance, Regulatory Group, Morgan Stanley

Joan Schwartz, Chief Legal Officer, Pershing LLC

 

Bressler principal, Andrew Sidman, Co-Chair of the SRO Subcommittee, will serve as a co-moderator of the panel.