About

Heidi’s practice focuses on securities litigation and arbitration matters, including representation of broker-dealers and their representatives in FINRA arbitration and enforcement actions.

SEC 2021 Exam Priorities

March 4, 2021

SEC’s Reg BI Roundtable Round-up

October 27, 2020

OCIE Offers Reg BI Examination “Study Guides” (But Not An Extension)

April 9, 2020

Countdown Continues As SEC And FINRA Issue Additional Reg BI Guidance

January 18, 2020

What You Can, And Should, Be Doing To Prepare For Reg BI

December 30, 2019

On To SCOTUS!

January 16, 2018

SEC Decrees That Its ALJs Are Constitutional. Now What?

November 30, 2017

What To Expect When You’re Expecting (An SEC Exam)

January 20, 2016

FINRA’s 2016 Examination Priorities Letter: Focus On “Firm Culture”

January 6, 2016

Nobody’s Perfect (And Even FINRA Finally Acknowledged It)

October 2, 2015

About

Heidi’s practice focuses on securities litigation and arbitration matters, including representation of broker-dealers and their representatives in FINRA arbitration and enforcement actions.

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Broker- Dealer Law Corner

Firm/Org

UB Greensfelder LLP