How to Handle FINRA Rule 8210 Request: A Comprehensive Guide
Live Webcast Date:
Wednesday, March 20, 2019 from 1:00 pm to 2:30 pm (ET)
Online CLE FINRA Rule
Join us for this Knowledge Group Online CLE FINRA Rule Webinar. Through Financial Industry Regulatory Authority (FINRA) Rule 8210, FINRA staff and adjudicators are given the authority to investigate a member firm’s books, records, and accounts for potential rule violation. Receiving a Rule 8210 request from the FINRA can be a great source of ordeal. Organizing the requested documents and information will need an intricate and thorough planning for seamless compliance. To avoid further damage in the course of the inquiry, it is imperative for companies to have a clear understanding of the subject of the 8210 letter. Counsel should be well-versed of the process involved as it’s critical in reducing the risks of adverse consequences.
In this Webcast a panel of thought leaders, professionals, and practitioners assembled by The Knowledge Group will provide the audience with an in-depth analysis of the fundamentals in handling a FINRA Rule 8210 Request. Speakers will also share best practices to avoid risks and pitfalls.
Key topics include:
- FINRA Rule 8210 Request: A Primer
- FINRA Inquiry Process
- Key Provisions and Rulings
- Best Compliance Practices
- Challenges and Risk Issues
Agenda
SEGMENT 1:
Robert J. Harvey, Partner
Jenks & Harvey LLP
- Scope of Rule 8210
- Preparing the witness for oral or written testimony
- Goals of a Regulatory Representation
SEGMENT 2:
Gary Kessler, Chairman, Shareholder
Kessler Collins, P.C.
- Organizing the Team to Respond
- Attorney Client and Work Product Privilege Including Internal Investigation
- Conflict of Interest in Multiple Representation of the firm and individuals
SEGMENT 3:
Brian P. Nally, Partner
Reminger Co., LPA
- Unique issues—can FINRA request documents maintained by Outside Businesses (through the operation of Outside Business Activities) and can FINRA request that your client create documents or collect documents from third parties?
- Litigation concerns—can your production be discovered by a private litigants?
- Penalties/Fines—a discussion of FINRA’s guidance, and recent penalties and awards.
Who Should Attend
- Financial Crime Attorneys & Consultants
- Finance Lawyers
- Corporate Governance Attorneys
- Banking & Finance Attorneys
- Investment Attorneys
- M&A Attorneys
- Securities Attorneys
- Financial Executives & Officers
- Bank and Financial Executives
- Legal and Compliance Executives
- Other related & Interested Professionals
Preview Podcast
Please click the podcast below to hear the speakers discuss the key topics for this webcast.
Online CLE FINRA Rule
SEGMENT 1:
Robert J. Harvey, Partner
Jenks & Harvey LLP
- Scope of Rule 8210
- Preparing the witness for oral or written testimony
- Goals of a Regulatory Representation
SEGMENT 2:
Gary Kessler, Chairman, Shareholder
Kessler Collins, P.C.
- Organizing the Team to Respond
- Attorney Client and Work Product Privilege Including Internal Investigation
- Conflict of Interest in Multiple Representation of the firm and individuals
SEGMENT 3:
Brian P. Nally, Partner
Reminger Co., LPA
- Unique issues—can FINRA request documents maintained by Outside Businesses (through the operation of Outside Business Activities) and can FINRA request that your client create documents or collect documents from third parties?
- Litigation concerns—can your production be discovered by a private litigants?
- Penalties/Fines—a discussion of FINRA’s guidance, and recent penalties and awards.
Online CLE FINRA Rule
Robert J. HarveyPartnerJenks & Harvey LLP
Robert concentrates his practice in securities litigation, arbitration and regulation. He has represented major brokerage firms and financial institutions, directors, officers, and financial advisors, in complex litigation in both state and federal courts, and FINRA arbitration.
Robert also defends financial institutions and individuals in regulatory proceedings before the SEC, FINRA, and state regulatory authorities. Additionally, Robert represents individual and institutional investors who have suffered monetary losses as the result of securities fraud. Robert began his career with the United States Navy, where he served on active duty from 1986-1990 as a Navy Judge Advocate and Special Assistant U.S. Attorney. After leaving active duty, he entered private practice in Chicago, Illinois, specializing in the areas personal injury defense and insurance coverage.
Online CLE FINRA Rule
Course Level:
Intermediate
Advance Preparation:
Print and review course materials
Method Of Presentation:
On-demand Webcast
Prerequisite:
General knowledge of FINRA Investigation
Course Code:
147773
NY Category of CLE Credit:
Areas of Professional Practice
Total Credits:
1.5 CLE
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About the Knowledge Group
The Knowledge Group has been a leading global provider of Continuing Education (CLE, CPE) for over 13 Years. We produce over 450 LIVE webcasts annually and have a catalog of over 4,000 on-demand courses.
Faculty
Click show bio to learn more
Robert J. Harvey
Partner
Jenks & Harvey LLP
Partner
Jenks & Harvey LLP
About the Knowledge Group
The Knowledge Group has been a leading global provider of Continuing Education (CLE, CPE) for over 13 Years. We produce over 450 LIVE webcasts annually and have a catalog of over 4,000 on-demand courses.
Robert concentrates his practice in securities litigation, arbitration and regulation. He has represented major brokerage firms and financial institutions, directors, officers, and financial advisors, in complex litigation in both state and federal courts, and FINRA arbitration.
Robert also defends financial institutions and individuals in regulatory proceedings before the SEC, FINRA, and state regulatory authorities. Additionally, Robert represents individual and institutional investors who have suffered monetary losses as the result of securities fraud. Robert began his career with the United States Navy, where he served on active duty from 1986-1990 as a Navy Judge Advocate and Special Assistant U.S. Attorney. After leaving active duty, he entered private practice in Chicago, Illinois, specializing in the areas personal injury defense and insurance coverage.
