| Financial Reform Bill 2010 – How Will It Affect Your Firm? |
Speakers: Theodore C. Peters, Esq. and Elizabeth M. Del Cid, Esq. with Edgerton & Weaver, LLP in Hermosa Beach, CA and New York, NY
CE Credit: One hour available through November 30, 2010
Congress just passed a sweeping overhaul of America’s financial regulatory system. The 2,300 page legislation is intended to combat deceptive practices that prey on consumers, illegal trading including proprietary trading, and corporate collapse that could lead to another Fannie Mae or Freddie Mac fall out.
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| SEC Focus - Custody of Advisory Client Assets |
Speakers: Clifford Kirsch, Partner, Sutherland, a 2010 FSI Law Firm Sponsor; Paul Tolley, Chief Compliance Officer, Commonwealth Financial Network; Carolyn Tuohy, Senior Counsel, Thrivent
CE Credit: One hour available through October 31, 2010
As a consequence of the Madoff scandal, the SEC has indicated that custody of client assets will be a top priority for SEC examiners. One of the key areas of focus for examiners will be compliance with recent amendments to the Advisers Act Custody Rule (Rule 206(4)-2 ), which went into effect this past March.
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| The State of Variable Annuities |
Speaker: Derek C. Anderson, Esq. of Michaels, Ward & Rabinovitz, LLP, a 2010 FSI Law Firm Sponsor
CE Credit: One hour available through September 30, 2010
The market volatility of the last couple of years has made understanding the impact on VAs and their riders increasingly important. Join Derek Anderson, Esq., of FSI 2010 Law Firm sponsor Michaels, Ward & Rabinovitz, LLP, for a web conference presentation that will include a review of the current requirements of FINRA Rule 2330, which governs firms' responsibilities regarding recommended purchases and exchanges of deferred variable annuities, provide guidance on evaluating and applying techniques to ensure compliance with annuity suitability requirements, and discuss state insurance suitability requirements.
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| The Efficacy of Securities Arbitration And Proposals for Change |
Speakers: Steve Wilson and Dave Rosedahl of Briggs and Morgan, a 2010 FSI Law Firm Sponsor
This event does not qualify for CE credit.
Earlier this year, FSI 2010 Law Firm sponsor Briggs and Morgan and the Financial Services Institute (FSI) surveyed FSI member firms about their views concerning the effectiveness of FINRA arbitration of customer disputes. Following the survey, a White Paper entitled The Efficacy of Securities Arbitration And Proposals for Change was jointly published, analyzing the survey results in the context of current...
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| Fallout From the Recent Private Placement Scandals |
Speakers: Brandon S. Reif and Michael Schwartzberg of Winget Spadafora & Schwartzberg LLP, a 2010 FSI Law Firm Sponsor
CE Credit: One hour available through July 30, 2010
Fallout from the recent private placement scandals has afflicted the independent broker-dealer community. Join Brandon S. Reif and Michael Schwartzberg, attorneys with 2010 FSI Law Firm Sponsor Winget, Spadafora & Schwartzberg, LLP, as they examine the factors that led to these scandals and the red flags that regulators have identified as having been purportedly missed by certain broker-dealers.
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| Legislative Update on Issues of Concern to Financial Advisors and Independent Broker-Dealers |
Speakers: Jeffrey J. Chomko, Esquire and Samuel E. Cohen, Esquire of Marshall, Dennehey, Warner, Coleman & Goggin, a 2010 FSI Law Firm Sponsor
CE Credit: One hour available through June 30, 2010
Join Attorneys Sam Cohen and Jeff Chomko of 2010 FSI Law Firm Sponsor, Marshall, Dennehey, Warner, Coleman & Goggin for a discussion on regulatory and legislative concerns impacting both independent broker-dealers and independent financial advisors, including: The current state of bills to overhaul the financial regulatory system and impact shareholders...
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| Social Media Compliance Issues |
Speakers: Clifford Kirsch and Cheryl Haas-Goldstein, Partners at Sutherland, a 2010 FSI Law Firm Sponsor
This event does not qualify for CE credit.
The past couple of years have seen an explosive growth regarding the use of social media (such as Facebook, Twitter, and LinkedIn). Independent broker-dealers and financial advisors are considering how best to leverage the powerful marketing potential of social media while dealing with the myriad compliance issue that such communications face.
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