Please join Holland & Knight's Financial Services Regulatory Team and Securities Enforcement Defense Team for a roundtable discussion as we explore the key issues that financial services organizations can expect to arise this fall from the U.S. Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) on hot-button rulemaking and enforcement topics.

We hope you can join us for this highly informative presentation.

Topics and Panelists:

SEC Rulemaking and Enforcement Trends Under Chair Gary Gensler:
ESG, Cybersecurity, Digital Assets, SAB 121 and More
Gabriel Benincasa | Partner, New York
Jessica Magee | Partner, Dallas and Fort Worth
Scott Mascianica | Partner, Dallas

FINRA Arbitration Awards, Fines and Suspensions:
2022 and 2023 "Hot List"
Tricia DeLeon | Partner, Dallas


Tuesday, September 20, 2022
12:00 – 1:15 p.m. ET
11:00 a.m. – 12:15 p.m. CT
10:00 – 11:15 a.m. MT
9:00 – 10:15 a.m. PT


Zoom Webinar
Meeting access information will be provided in your confirmation email.


Space is limited. Please register online by September 19.