Corporate Counsel Meredith Abrams participated in Practising Law Institute’s (PLI) “Fundamentals of Broker-Dealer Regulation 2023” program on July 17 in New York. Meredith spoke with a senior member of the staff of the Financial Industry Regulatory Authority, Inc. (FINRA) on a panel titled, “Broker-Dealer Fundamentals – An Overview of Broker-Dealer Regulation,” which addressed numerous aspects of broker-dealer regulation.
For more information on the program, please click here.