FINRA Compliance Guide: Key Takeaways from Common Mistakes
Overview:
The Financial Industry Regulatory Authority (FINRA) recently released Regulatory Notice 19-31 addressing disclosure innovations for advertisements and other public communications. The notice aims to help facilitate simplified and more effective disclosures for member firms, and was published as a response to the growing queries about FINRA’s communications rules when utilizing electronic media.
Although the notice provides comprehensive guidance on disclosures, firms must still be clear and precise in their explanations to ensure fair and balanced presentations and to avoid potential regulatory scrutiny and liability. Firms must not only consider the most effective methods for disclosures and the substance of their disclosures, they must also proactively review their existing practices to ensure compliance and avoid regulatory liabilities.
In a LIVE Webcast, financial regulatory experts Emily P. Gordy (McGuireWoods LLP) and Rogge Dunn (Rogge Dunn Group, PC) will provide an in-depth discussion of FINRA’s compliance guidance. Speakers will dig deeper as they analyze critical issues and common pitfalls. They will also offer practical tips and strategies in this evolving regulatory climate.
This LIVE webcast will discuss the following key provisions:
- Regulatory Notice 19-31: An Overview and other FINRA Guidance
- Other Trends and Developments
- Common Risks and Pitfalls
- Best Compliance Practices
- Compliance Tools
Agenda:
SEGMENT 1:
Emily P. Gordy, Partner
McGuireWoods LLP
AND
SEGMENT 2:
Rogge Dunn, Partner
Rogge Dunn Group, PC
- Regulatory Notice 19-31: An Overview and other FINRA Guidance
- Other Trends and Developments
- Common Risks and Pitfalls
- Best Compliance Practices
- Compliance Tools
Who Should Attend:
- Financial Crime Lawyers & Consultants
- Corporate Governance Lawyers
- Banking & Finance Lawyers
- Investment Lawyers
- Securities Lawyers
- Financial Executives & Officers
- Bank and Financial Executives
- Legal and Compliance Executives
Emily advises her clients as they navigate the complexities inherent in the securities regulatory environment. Drawing on her wealth of …
Rogge Dunn is a trial attorney and counselor for Fortune 500 companies, wirehouses and prominent Financial Advisors, executives and entrepreneurs. Dunn has …
Course Level:
Intermediate
Advance Preparation:
Print and review course materials
Method of Presentation:
On-demand Webcast
Prerequisite:
General knowledge of financial industry regulation
Course Code:
148849
NY Category of CLE Credit:
Areas of Professional Practice
Total Credits:
1.5 CLE
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SPEAKERS' FIRMS:
About McGuireWoods LLP
McGuireWoods LLP is a leading international law firm with 1,100 lawyers in 21 offices worldwide. It continuously ranks among the top firms in Financial Times’ prestigious North America Innovative Lawyers report. The firm has been recognized 14 times on BTI Consulting’s Client Service A-Team — elite firms singled out for client service excellence based on unprompted feedback from clients in major companies. Its full-service public affairs arm, McGuireWoods Consulting LLC, offers infrastructure and economic development, strategic communications and grassroots advocacy, and government relations solutions. For more information, visit www.mcguirewoods.com.
Website: https://www.mcguirewoods.com/
About Rogge Dunn Group, PC
We have extensive experience handling a variety of matters across the U.S. in the financial industry space. Indeed, one of our partners, Josh Iacuone, is a licensed FINRA arbitrator. We have taken on and defeated the big firms like Goldman Sachs, BBVA, and UBS.
We transition teams to new firms, handle TROs, fight off non-competes and non-solicits, ensure that the broker recruiting protocol is followed (for signatories), defend against promissory note enforcement, help financial advisors, Branch Managers and financial executives with severance, regulatory issues, letters of education and FINRA investigations. We have a track record of recovering FAs/RMs deferred compensation forfeited by former employers. We assist FAs, Branch Managers and financial executives protect their reputations, handle expungements and the marking and filing of U-4s and U-5s. We have represented more than a dozen of Barron’snational top 100 financial advisors.
Website: https://roggedunngroup.com
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