Please join us for our upcoming Financial and Operations Principal (FINOP) Roundtable where professionals from FINRA, Katten, and DFP Partners will discuss topics related to the regulatory environment, including common regulatory findings, recent enforcement actions, and new accounting standards. Connect with industry professionals for an evening of networking, light bites, and drinks.

Event Agenda:
5:30PM – 6:00PM: Registration and networking
6:00PM – 7:00PM: Roundtable discussion with a Q&A session
7:00PM – 8:30PM: Networking reception

Speakers:
Ann Duguid, Senior Director, FINOP Policy, FINRA
Janice Parise, Partner, DFP Partners
Susan Light, Partner and Co-Chair, Broker-Dealer Regulation, Katten
Danny McGuire (Moderator), Partner, Citrin Cooperman

Click the link below to register for this event: