Jason Haselkorn will speak on the topic, “Emerging Issues in FINRA: Consolidated Rules and Amendments in 2016,” in a webcast scheduled for Tuesday, January 12, 2016 at 3:00 pm to 5:00 pm EST.
Recently, the Financial Industry Regulatory Authority (FINRA) issued Regulatory Notice 15-07 which alerts its member firms to the new and amended consolidated rules on membership (FINRA Rule 0190), transactional payments to unregistered persons (FINRA Rule 2040), and sanctions (FINRA Rule 8311).
Securities industry and other officials should have a thorough understanding of the risks and consequences of the new and modified standards for the businesses.
In this two hour, LIVE Webcast, Jason and two other distinguished professionals will help financial industry executives and securities lawyers understand the important aspects of FINRA’s Consolidated Rules and Amendments.
Speakers will discuss the Regulatory Notices and offer best practices in developing and implementing an effective compliance policy. Key topics include:
- Regulatory Notice 15-07 – An Overview
- FINRA Rule 0190
- FINRA Rule 2040
- FINRA Rule 8311
- Regulatory Notice 15-07: Implications for Securities Industry
- Potential Risks and Opportunities
- Development of Effective Compliance Policy
- Regulatory Predictions
Other speakers include Theodore R. Snyder of Murphy & McGonigle and Richard A. D’Amura of Kaplan Zeena LLP. The event is hosted by The Knowledge Group.
Course Fee: Registration is FREE courtesy of Ciklin Lubitz.
Note: CLE/CPE/CE credit requires a minimal Certificate of Attendance processing fee of $49 per participant (normally paid by the attendee) if credit is needed to apply to the bar.
Please note, complimentary passes are available for the first 30 registrants. Once all of the passes are used, attendees can register for the deeply discounted rate of $25 each courtesy of Ciklin Lubitz.
Course Level: Intermediate
Method of Presentation: Group-Internet Based
Recommended CLE/CPE Hours: 1.75 – 2.0
Advance Preparation: Print and review course materials
About Jason Haselkorn
For the past 20 years, he has used his background and experience in the securities industry to represent clients in large and complex litigation matters in state and federal court, as well as in a variety of arbitration forums including FINRA and AAA. He has first-chair trial experience in cases involving large potential damages and complex legal issues, including more than 40 arbitration final hearings tried to conclusion.
He earned his law degree from the New York Law School and was licensed to practice law in Florida in 1995.