NYSBA Business Law Section Members: Free
FINRA’s 2019 Priorities and Emerging Concerns and SEC Examination Priorities and
Current Examination Update
This program will provide a general overview of the topics that FINRA's examination functions will focus on in the coming year. Specifically, analysis of FINRA's highlighted areas of concern which include: (1) online distribution platforms; (2) supervision of digital assets business; (3) compliance with FinCEN's Customer Due Diligence Rule; (4) fixed-income mark-up and mark-down disclosure obligations; and (5) regulatory technology. Additionally, the program will cover the current SEC Examination Priorities for registered investment advisers and share some detail on current examinations including, among other things, unique document requests and recent issues identified by the staff.
Co-Sponsored by the Business Law Section and the Committee on Continuing Legal Education
Live CLE Program & Dinner
1.0 MCLE Credits: 1.0 Areas of Professional Practice
NYSBA Business Law Section Member: Free | NYSBA Member: $25
*Optional Dinner preceding the program: $45
- General Overview of the Topics that FINRA's Examination Functions will Focus on in the Coming Year
- SEC Examination Priorities for Registered Investment Advisers
Mirella deRose, Esq., King & Spalding, LLP, NYC
Russell Johnston, Esq., King & Spalding, LLP, NYC
Richard Margolies, Esq., King & Spalding, LLP, NYC
Michael Watling, Esq., King & Spalding, LLP, NYC
Kenny Clowers, ACA Compliance Group, San Francisco
Jim Diercksen, ACA Compliance Group, NYC
Newly Admitted Attorneys: To receive skills credit, newly admitted attorneys must take accredited transitional CLE courses in traditional live classroom settings that have been approved by the CLE Board for use by newly admitted attorneys. For more information about the CLE Rules, please go to www.nycourts.gov/Attorneys/CLE.
Out of State Accreditation: This program has also been approved for MCLE credit by the State Bar of California, the Pennsylvania Continuing Legal Education Board and the Board of Continuing Legal Education of the State of New Jersey. If you require MCLE credit in other states, we can provide you a Uniform MCLE Form.
Partial Credit for Program Segments Not Allowed: Under the New York State Continuing Legal Education Board Regulations and Guidelines, attendees at CLE programs cannot get MCLE credit for a program segment (typically, a lecture or panel, of which there are usually several in a program) unless they are present for the entire segment. Those who arrive late, depart early, or are absent for any portion of the segment WILL NOT receive credit for that program segment.
Follow NYSBA CLE on Twitter! @NYSBACLE
Stay informed. Be the first to hear about the latest course offerings.
To view the full list of Continuing Legal Education Programs, click here.
If you have any questions about this program, please contact staff attorney Sally Bratten.