(Lunch Lecture) A Career at the Financial Industry Regulatory Authority – FINRA

february 2022

thu17feb12:45 pm1:45 pm(Lunch Lecture) A Career at the Financial Industry Regulatory Authority – FINRA Event Organized By: Ronald H. Filler Institute for Financial Services Law

Event Details

The Financial Industry Regulatory Authority (FINRA) is a critical self-regulatory body that oversees the U.S. securities industry. To protect investors against fraud, FINRA licenses and registers all brokers and broker-dealer firms; ensures compliance with its rules and regulations; actively examines the practices of the securities industry; and disciplines bad actors. Our speakers will give an overview of and discuss possible career opportunities at FINRA.

Gene DeMaio, Esq.
Executive Vice President, FINRA
Carrie Jordan ’17
Examination Manager, FINRA
Justin Winter
Senior Director, FINRA

DATE
Thursday, February 17, 2022

TIME
12:45 p.m.–1:45 p.m. EST

LOCATION
Webinar
Information on accessing the webinar will be provided via email closer to the webinar date.

RSVP 
www.nyls.edu/fillerRSVP

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