Complying with FINRA’s Rules & Regulations: Practical Tips for 2017

Broadcast Date: Thursday, May 11, 2017 from 12:00 pm to 2:00 pm (ET)
business suit and tie, compliance
Jennifer D. Morton
Scott M. Andersen
Lisa Roth

SPEAKERS' FIRMS:

About Shearman & Sterling LLP

Shearman & Sterling LLP is an international law firm specializing in the complex cross-border and domestic legal and regulatory issues that arise in the modern world. We practice in all the key financial centers and legal systems and have a deep history and understanding of the businesses of financial institutions and broker-dealers. Our approach is one of sound and innovative advice stitched together across legal systems and jurisdictions, combined with a penetrating understanding of regulations around the world and knowledge of best practice. While most firms provide financial regulatory advice as ancillary to core corporate or finance practices, we are almost unique in having a stand-alone financial regulatory practice. Our insight into how markets work and how they are developing puts our clients ahead of the regulatory curve on regulatory standards, inquiries and investigations.

Website: http://www.shearman.com/en/

About Andersen, P.C.

THE JOBS ACT, CROWDFUNDING AND RAISING CAPITAL OVER THE INTERNET

The firm provides regulatory guidance and advice to funding platforms and portals, broker-dealers and issuers who seek to raise capital under Title II, III or IV of the JOBS Act.

The firm assists its clients to comply with the requirements of the federal securities laws, including the Securities Act of 1933, state blue sky laws, and FINRA rules, when participating in the raising of capital in interstate or intrastate offerings.

The firm advises clients on portal and broker-dealer registration and regulation, general solicitation, offering exemptions, advertising, and regulatory and litigation risks.

U.S. SECURITIES AND EXCHANGE COMMISSION AND FINRA DEFENSE PRACTICE

The firm represents entities and individuals who are under examination or investigation by the Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), state securities regulators and law enforcement agencies. The firm is focused on representing broker-dealers, investment advisers, investment platforms and portals, issuers, hedge funds and their employees in governmental and self regulatory organization investigations and disciplinary actions.

COMPLIANCE ADVICE

The firm provides advice to broker-dealers, investment advisers, funding platforms and portals, hedge funds and issuers of securities to ensure compliance with the federal securities laws and the standards required by the SEC, FINRA and the state securities regulators, including:

  • anti-money laundering (AML);
  • the preparation of written supervisory procedures, including supervisory control procedures;
  • independent testing, identifying weaknesses or vulnerabilities, and improving compliance programs;
  • registration;
  • compliance with new rules;
  • meeting fiduciary duty standards and managing conflicts of interests;
  • advertising, including social media;
  • safe harbors under the federal securities laws;
  • the appropriateness and legality of certain compensation, fees, commissions and/or other charges;
  • due diligence for offerings or products, including the sale of complex products to retail investors; and
  • accredited investor verification.

Website: http://www.finlawyer.com/

About Monahan & Roth, LLC

Monahan & Roth knows compliance and understands the needs of a thriving business, so you can expect services to be delivered on time with the confidence and competence of a seasoned professional. Our consultants leverage successful past experiences with an active professional network to deliver a creative, current and custom tailored solution to each situation.

We are proud of our clients' successes and work hard to ensure the feeling is mutual. If you know our team, you know our broad expertise and personalized services. But if you do not already know us, we hope you will call for an introduction.

Website: http://monahan-roth.com/

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