Speaker, FINRA webinar: who are they and what do they do?

On April 28, 2015,  finLawyer , Ofsink, LLC and Pacific Stock Transfer presented a webinar focused on FINRA and common questions and concerns issuers and transfer agents have when working with FINRA.  Discussion items included the deposit and liquidation of small cap securities, FINRA investigations and FINRA Rule 6490.

SEC Speaker

Speaker, Recent Developments in Securities Enforcement, U.S. Securities and Exchange Commission 2014 Joint Regulatory Conference, West Bonaventure Hotel, Los Angeles, on June 3, 2014.