finra sanction guidelines

Rogge Dunn Speaking in Live Webcast | FINRA’S Heightened Sanction Guidelines: What to Expect in 2019

Rogge Dunn will be speaking on FINRA sanction guidelines during a live webcast hosted by Knowledge Group on January 16, 2019 at 3:00 p.m. – 5:00 p.m. (ET).

The title of the webcast is “FINRA’s Heightened Sanction Guidelines: What To Expect in 2019”

Register Here

Rogge Dunn will cover the updated FINRA sanction guidelines and what to expect moving forward.

Key topics include:

  • FINRA’s Sanction Guidelines:  An Overview
  • Recent Trends and Developments in FINRA’s Sanction Guidelines
  • Common Pitfalls and Risk Issues
  • Risk Mitigation Techniques and Best Practices
  • What Lies Ahead

Please note, complimentary passes are available for the first 30 registrants. Once all of the passes are used, attendees can register for the deeply discounted rate of $25 each courtesy of Rogge Dunn Group, PC.

Discount code ROGGEDUNN147607

 Register Now!

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