Presentation on the Role of FINRA in Regulating Investment Advisers

On April 15, 2010, Justin Sher participated on a panel hosted by the New York American Inn of Court entitled, “Does a New Era of Ponzi Scheme Fraud Necessitate Heightened Regulation?” Mr. Sher discussed proposals made by the Financial Industry Regulatory Authority (FINRA) to subject investment advisers such as hedge funds to greater regulation. A transcript of testimony by FINRA’s chairman before Congress on this topic can be found here.