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Description: This panel will cover enforcement and topics you could be questioned on, documents that present an issue, and how far the attorneys can go in questioning you. FINRA rules and developments regarding remedies will also be included. It will be hosted by John H. Walsh of Sutherland Asbill & Brennan LLP, Richard T. Chase of RBC Capital Markets LLC, A. Brad Busscher of Incapital LLC and J. Bradley Bennett of FINRA.
LIVE WEBCAST SPONSOR
West LegalEdcenter extends its thanks to Intralinks, exclusive sponsor of this live webcast.
IntraLinks (NYSE: IL) empowers global companies to share content and collaborate with businesses partners without losing control over information. Through the IntraLinks platform, companies, partners, and third parties can share and work together on even the most sensitive documents while maintaining compliance with policies that mitigate corporate and regulatory risk. IntraLinks has more than 15 years of experience, and a track record of enabling high-stakes transactions and business collaborations valued at more than $19 trillion. IntraLinks is the proven provider of enterprise strength collaboration solutions, and is headquartered in New York City. In addition the company operates eleven offices in four countries.
| Practice Areas: | | Broker-Dealer, Corporate & Securities | | Online Media Type: | | Video | | Production Date: | | 10/23/2012 | | Level: | | Intermediate | | Category: | | Standard | | Duration: | | 1 Hours, 12 Minutes | | Online Format: | | On Demand | | Course Type: | | Public |
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Purchase of this product provides online access for 180 days. If you are purchasing a live webcast, you will receive complimentary access to the on demand version for 180 days once it becomes available. Please note that the on demand and podcast versions may, or may not be accredited in your state.
If you intend to take a course for CLE credit, please make sure your state is listed in the "Accreditation" section to the upper right of the program description. Accreditation displayed is unique to the purchased program format (live conference, live webcast, on demand, podcast). Credit totals listed for live conferences are the maximum credits available. Credits issued will be based upon actual time in attendance. Credit totals for other formats are for complete programs. Partial credit is not available for any online or downloadable format.
West LegalEdcenter will not provide accreditation for states not listed.
CLE Scholarship information Tuition Assistance for legal professionals taking our programs. Learn more about the program.
This product is intended for individual use by the named purchaser. Group viewings for online programs may be arranged for five or more attorneys within the same organization prior to viewing by emailing west.wlec-sales@thomson.com.
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| • | J. Bradley Bennett - Executive Vice President, FINRA Enforcement | • | A. Brad Busscher - Incapital Holdings LLC | • | Richard T. Chase - RBC Capital Markets, LLC | • | John H. Walsh - Partner, Sutherland Asbill & Brennan LLP |
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