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Advertising Compliance Boot Camp: Fundamentals of FINRA Rule 2210

SKU: FR1002
Total Credits
1 - 1.2
Price$50
  • Online Access
  • Smartphone
  • iPad/iPod/Tablets
  • CDs/DVDs

Description

This CLE program provides an overview of FINRA’s Communications With the Public rule, including the filing requirements, internal approval and supervision, and the content standards. FINRA panelists answer questions about how to apply the rules to financial services communications and marketing materials, while providing tips on how to submit communications for review by Advertising Regulation Department staff.

Lecturer Bios

Gregory Riviello

Gregory Riviello is a director in FINRA’s Advertising Regulation Department which is responsible for the regulation of FINRA member firms’ communications with the public. Mr. Riviello is responsible for supervising the daily activities of 25 staff devoted to the review of communications filed with the Department. He provides guidance to Department staff and FINRA firms on the application of the advertising rules and interpretations and also assists with the development of these rules. His other responsibilities include coordinating the Department’s recruiting, training and quality control functions. Mr. Riviello has spoken about various advertising regulation topics at industry events and at the FINRA Advertising Regulation Conferences. Mr. Riviello has more than 35 years of experience in the securities industry including 27 years with the Advertising Regulation Department. He is a graduate of West Chester State University in West Chester, Pennsylvania, and holds an MBA from the University of Maryland.

Stephanie Gregory, Esq.

Stephanie Gregory is Principal Analyst in FINRA's Advertising Regulation Department. Prior to joining FINRA in 2004, Ms. Gregory worked in compliance and advertising review with a member firm. Ms. Gregory received a bachelor’s degree in economics and political science from Boston University, and her law degree from Pennsylvania State University Dickinson School of Law.

Timothy P. Holland, Esq.

Timothy P. Holland is a manager in the FINRA Advertising Regulation Department, and assists in supervising the activity of a group of analysts that reviews sales communications filed by member firms. Mr. Holland joined the Advertising Regulation Department in 2004. He also worked in the CRD/Public Disclosure Department of NASD from 1996 to 2000. Mr. Holland has bachelor’s degrees from the University of Maryland at College Park and received his law degree from The Catholic University of America, Columbus School of Law.

Steven O’Mara

Steven O’Mara is Associate Director in FINRA’s Advertising Regulation Department. Before joining Advertising Regulation, he spent three years in the Market Regulation Department. He also worked for four years as a compliance officer for a regional brokerage firm. Mr. O’Mara holds a master’s degree in business from Johns Hopkins University and a bachelor’s degree from Saint Anselm College.



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