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Reducing Your Liability in Compliance With FINRA

Don't get slammed by FINRA: Do right by your customers.

This topic will enable you to gain insight into the various aspects of FINRA investigations, examinations, hearing and settlement process. Today's regulatory landscape is expanding with FINRA taking a lead in enforcing today's markets. The topic will provide a step by step approach to how FINRA examines and investigates its members and their associated persons. The topic will provide practical insight into navigating large document and testimony requests, assessing whether to litigate or settle with FINRA, and an understanding of the FINRA hearing process. You will also learn of FINRA's priorities and recent case developments.

Runtime: 80 minutes
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Why Lorman?

Over 31 years and 1.4 million customers worth of experience providing continuing education. Our passion is providing you world-class training to help you succeed in business and as a professional.

Agenda

Overview

Understanding FINRA's Role

  • Licensing and Registration
  • Examinations and Investigation
  • Enforcement

Examinations and Investigations

  • Cycle Examinations
  • Sweep Examinations
  • Special Examinations

Testimony and Documents

Wells Notice

Enforcement Process

  • Hearings
  • Settlements
  • Appeals

FINRA Priorities

Recent Enforcement Cases

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More Program Information

Why Lorman?

Over 31 years and 1.4 million customers worth of experience providing continuing education. Our passion is providing you world-class training to help you succeed in business and as a professional.

Credits

OnDemand Webinar

This program format does NOT qualify, nor meet the National Standard for NASBA accreditation.

Audio & Reference Manual

This program format does NOT qualify, nor meet the National Standard for NASBA accreditation.

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More Program Information

Why Lorman?

Over 31 years and 1.4 million customers worth of experience providing continuing education. Our passion is providing you world-class training to help you succeed in business and as a professional.

Faculty

Paul M. Tyrrell

Paul M. Tyrrell

Sidley Austin LLP

  • Partner with Sidley Austin LLP
  • Focuses on securities and commodities compliance and enforcement matters affecting financial institutions, with an emphasis on sales practice and supervisory rules applicable to broker/dealers and their associated persons
  • Advises clients on their compliance with the USA PATRIOT Act, Bank Secrecy Act and related anti-money laundering requirements
  • Extensive regulatory and litigation experience that provides clients with a comprehensive approach to their challenges
  • Prior to joining Sidley, served as senior special regional counsel at FINRA’s (formerly NASD) Boston district office, managing investigations and filing disciplinary matters arising out of broker-dealer examinations and counseled member regulation staff and industry participants on FINRA and MSRB rules
  • Served previously as a senior trial attorney with the CFTC in New York, managing enforcement matters involving commodity futures and options, and as a senior attorney with the FDIC
  • Received the Certified Regulatory Compliance Professional designation through the FINRA Institute in 2005
  • J.D. degree, Western New England College School of Law; B.A. degree, University of Florida
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More Program Information

Why Lorman?

Over 31 years and 1.4 million customers worth of experience providing continuing education. Our passion is providing you world-class training to help you succeed in business and as a professional.

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Pay once and get a full year of unlimited training in any format, any time!

  • Live Webinars
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  • White Papers and Articles
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Additional benefits include:

  • State Specific Credit Tracker
  • Members Only Newsletter
  • All-Access Pass Course Concierge

* For audio recordings you only pay shipping

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Product ID: 399111
Published 2016
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Available in Multiple Formats

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