finra compliance guide

June 1, 2020: Rogge Dunn To Speak at FINRA Webinar Regarding FINRA Regulatory Notice 19-31

Notice: this webcast was originally scheduled for May 14, 2020. It has been rescheduled for June 1, 2020.

Rogge Dunn will be speaking in The Knowledge Group’s live webinar regarding FINRA Regulatory Notice 19-31. The webinar, titled “FINRA Compliance Guide: Key Takeaways from Common Mistakes,” will address regulatory notice and disclosure issues for advertisements and public communications. It will take place on Monday, June 1, 2020 from 3:00pm – 4:30pm (ET).

Dunn will be discussing the recent notice released by FINRA, Regulatory Notice 19-31, as well as critical issues and common pitfalls of the FINRA compliance guide.

The live webcast will discuss the following key provisions:

  • Regulatory Notice 19-31: An Overview
  • Other Trends and Developments
  • Common Risks and Pitfalls
  • Compliance Tools
  • Best Compliance Practices

For more information about the webinar, click here.

To learn more about Rogge Dunn’s experience with significant matters in the financial industry, click here.

MEDIA

Gregory Clift and Rogge Dunn Group sponsored the Aging Mind Foundation Gala
READ MORE
Rogge Dunn Recognized by Lawdragon in 2026 National Guides
READ MORE
Proposed FINRA Rule on Outside Business Activities
READ MORE
Rogge Dunn Featured by Lawdragon for Impactful Advocacy Across Texas and Beyond
READ MORE
New Important Legal Decision Regarding Arbitration Agreements
READ MORE
Rogge Dunn Group Hosts Charity Fundraising Dinner Supporting Eric Dickerson Learning Center
READ MORE
Rogge Dunn Group Attorneys Win Significant Gender Discrimination and Equal Pay Ruling Against Global Advertising Giant
READ MORE
How Texas Employers Should Respond to Medical Marijuana Law Changes
READ MORE
Dallas CEO ordered to pay $5.7 million in workplace sexual harassment case
READ MORE
Dallas CEO known for ‘Bless your heart’ TV ads ordered to pay $5.7M in sexual assault case
READ MORE
Rogge Dunn Group Sponsors D CEO’s 2026 Dallas 500 Launch Party
READ MORE
Rogge Dunn Hosts Ukrainian Veterans at Panel Discussion – The Texas Lawbook
READ MORE
CBS News Texas – Rogge Dunn – Ukraine Heroes
READ MORE
Labor Law Attorney, Rogge Dunn Explains Free Speech Protections For Government vs. Private Companies In One On One Interview
READ MORE
Employment Attorney, Rogge Dunn Weighs In On Free Speech Laws
READ MORE
Court Grants Directed Verdict in Favor of RDG Client in Restrictive Covenant Lawsuit
READ MORE

Contact Us Today!

Contact us to learn how we can help answer your legal questions.

FILL OUT FORM