Regulating Financial Markets: Coffee with Gary Lisker '88, Senior Counsel, FINRA Dept. of Enforcement
February 24, 2011 • 10:30 AM • Law School 4172
Join alumnus Gary Lisker to discuss his work as a market regulator and opportunities for attorneys in financial services. Gary will also talk about how he moved from a small general litigation firm in Atlanta to his current role in Washington. The Financial Industry Regulatory Authority (FINRA) is the largest independent regulator for all securities firms doing business in the United States. FINRA oversees nearly 4,800 brokerage firms, about 170,400 branch offices and approximately 643,000 registered securities representatives. FINRA touches virtually every aspect of the securities business including writing rules; enforcing those rules and the federal securities laws; administering the largest dispute resolution forum for investors and registered firms, and much more. To attend, please RSVP to careercenter@law.duke.edu