New Supervision and Supervisory Control Rules Webinar

Original program date: February 26, 2014

In this free 60-minute video webinar, FINRA staff and industry experts explain changes to FINRA's recently approved consolidated rules for supervision and supervisory control system. During the webinar you will learn about key changes to the rules and potential impact to your firm's compliance program.

 
Panelists:

  • Patricia Albrecht, Counsel III,  Regulatory Practice & Policy, FINRA
  • Mark Cresap, President, Cresap, Inc.
  • Chip Jones, Senior Vice President, Member Relations, FINRA (Moderator)
  • Jeff Pasquerella, Regional Director, FINRA
  • Kathy VanNoy-Pineda, Executive Vice President and Chief Compliance Officer, LPL Financial

 

How to Register

Complete the online registration form. You will receive a confirmation email after your registration has been processed.

 

Register for the On-Demand Webinar

 

For registration or technical questions call (800) 321-6273. 
 


 
FINRA's webinars are the sole property of FINRA and the information provided is for informational and educational purposes only. The content of the webinars does not constitute any FINRA rule or amendment or interpretation to such rules. Compliance with any recommended conduct presented does not mean that a firm or person has complied with the full extent of their obligations under FINRA rules, the rules of any other SRO, or securities laws. Use of this webinar does not create a safe harbor from regulatory responsibility. This webinar is provided "as is". FINRA and its affiliates are not responsible for any human or mechanical errors or omissions. Parties may not reproduce the webinars in any form, nor reference them in any publication, without the express written consent of FINRA.
 
Only FINRA's Annual Conference is open to the media. All other FINRA conferences, webinars, and other programs are closed to the media.