FINRA Compliance Guide: Key Takeaways from Common Mistakes
Recording Available: Friday, May 15, 2020
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, companies must still be clear and precise in their explanations to avoid drawbacks. Companies must not only consider the most effective methods for disclosures but also proactively review their existing practices to ensure compliance and dodge legal liabilities.
In a LIVE Webcast, a panel of key thought leaders and practitioners assembled by The Knowledge Group 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 legal climate.
This LIVE webcast will discuss the following key provisions:
- Regulatory Notice 19-31: An Overview
- Other Trends and Developments
- Common Risks and Pitfalls
- Compliance Tools
- Best Compliance Practices
Rogge Dunn Group, PC
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
Noreen Kelly is the Managing Partner of McGuireWoods’ New York Office and a member of the firm’s Diversity & Inclusion and Associates Committees. Her practice focuses on white collar and regulatory enforcement matters, as well as commercial litigation, in the securities and financial services space.
Kelly represents financial institutions, broker dealers, investment advisers and other businesses facing investigations by regulatory and government agencies, including the Department of Justice, the Securities and Exchange Commission, the Financial Industry Regulatory Authority, the Office of the Comptroller of the Currency, as well as state securities regulators and attorneys general. She conducts internal investigations and responds to regulatory inquiries on behalf of major investment banks, audit committees and other entities regarding alleged securities violations, accounting fraud, embezzlement and Foreign Corrupt Practices Act violations. Her clients also include traders, bankers and other executives facing regulatory scrutiny.
Noreen Kelly is the Managing Partner of McGuireWoods’ New York Office and a member of the firm’s Diversity & Inclusion …
Rogge Dunn is a trial attorney and counselor for Fortune 500 companies, wirehouses and prominent Financial Advisors, executives and entrepreneurs. Dunn has developed a specialty involving significant matters in the financial industry. This includes regulatory issues, wrongful discharge, moving teams, OTRs, non-competes, the Protocol for Broker Recruiting, promissory note defense and forfeiture of deferred compensation.
He has twice set the largest wrongful discharge arbitration award against Goldman Sachs for FAs in California. (Breaking Dunn’s own record). Most recently he obtained a $7.6 million Award against Goldman Sachs in a FINRA arbitration in Los Angeles.
Dunn has won more than $2 billion in judgments and settlements for his clients. He has represented more than 10 FAs in Barron’s national top 100 financial advisors. Dunn has won million dollar jury verdicts or arbitration awards in California, Texas, Louisiana and Arkansas.
Rogge Dunn is a trial attorney and counselor for Fortune 500 companies, wirehouses and prominent Financial Advisors, executives and entrepreneurs. Dunn has …
Print and review course materials
Method Of Presentation:
General knowledge of financial industry regulation
NY Category of CLE Credit:
Areas of Professional Practice
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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.
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.