A free virtual panel  for broker dealers and investment advisors on industry hot topics or trends.  These sessions are intended to be brief summaries of topics selected from recent enforcement actions or other relevant industry releases.

 Trade Confirmations

May 7, 2025

12:00-12:30 Central

Moderator:

Jesy LeBlanc from TRADEliance

Panelists:

Kat Miller from TRADEliance

Ignacio Sandoval from Orrick, Herrington & Sutcliffe, LLP

 

About TRADEliance

About Ignacio Sandoval

 

About this Panel

TRADEliance observed a FINRA enforcement trend in 2024 for Trade Confirmation issues.  In addition, FINRA published an Investor Insight: Are you Checking Your Trade Confirmations? 

 

This panel is designed to:

  • Provide education on applicable rules
  • Share best practices 
  • Share insights and solutions

 

Panel Registration Form