Securities law and dispute resolution forum - Oct. 15
Elon Law students, please join us on Tuesday, Oct. 15 at noon (Room 204) for the first speaker in this year’s Business Law Speaker Series. Rick Berry is the Senior Vice President and Director of Case Administration for the Financial Industries Regulation Authority (FINRA). FINRA protects investors by writing and enforcing rules and regulations that govern the activities of brokerage firms and brokers. FINRA also administers the largest forum specifically designed to resolve disputes between and among investors, securities firms, and individual brokers.
To learn more about FINRA, please check out the following link: http://www.finra.org/AboutFINRA/WhatWeDo/
Mr. Berry will speak about FINRA and its role in ensuring confidence in the securities markets. He will specifically talk about FINRA’s dispute resolution process. His talk will take place at noon on Tuesday, Oct. 15 in Room 204. If you have any interest in business law or if would like to learn more about how Wall Street brokerage firms are regulated, please join us. Food will be provided. No RSVP is required, but for purposes of determining how much food to purchase, please let Assistant Registrar Jane Law know if you plan to attend (email@example.com).