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Advertising Compliance Boot Camp: Fundamentals of FINRA Rule 2210

SKU: FR3300
Total Credits
1 - 1.2
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This CLE course is designed for compliance and marketing professionals who are new to FINRA’s advertising rules or experienced practitioners interested in a refresher. A panel of FINRA professionals provides an overview of FINRA’s Communications With the Public rule, including filing requirements, internal approval and supervision, and content standards. Panelists answer questions about how to apply the rules to financial services communications and marketing materials while offering tips on how to submit communications for review to the Advertising Regulation Department.

Topics discussed

  • Understand the role of the Advertising Regulation Department.
  • Apply the definitions, approval, review and recordkeeping requirements.
  • Understand the filing requirements and filing exemptions.
  • Know how to comply with the content standards of FINRA Rule 2210.

Lecturer Bios

Derek Ashworth

Derek Ashworth is Associate Director in FINRA’s Advertising Regulation Department. The department protects investors by ensuring broker-dealer members of FINRA use communications that are fair, balanced and not misleading. Mr. Ashworth’s primary responsibility is managing staff members dedicated to the routine review of member firm communications. Mr. Ashworth also participates in the Department’s outreach efforts including serving as a panelist in prior FINRA conferences and presenting during selected FINRA Compliance Boot Camps. He has been with the Advertising Regulation Department for 17 years. Prior to joining FINRA, Mr. Ashworth was a program manager for a business and education partnership at Nova Southeastern University in Fort Lauderdale, FL. Previous to this role, he was a specialty banker and registered representative with First Union in West Palm Beach, FL. Mr. Ashworth received his bachelor’s degree from Stetson University and completed his M.B.A. at Johns Hopkins University.

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.

Mark W. Smith, Esq.

Mark W. Smith is the founder of Smith Valliere PLLC. Having worked as a trial lawyer and business attorney for over a decade, Mr. Smith's courtroom accomplishments have captured the covers of The New York Times, Wall Street Journal, New York Law Journal and have been reported in every major media outlet. The media calls Mr. Smith "a powerhouse lawyer," a "rising public intellectual," "a high-stakes, high-profile Wall Street litigator" and "one of the fastest rising legal stars in the country." Mr. Smith is also a New York Times bestselling author of four books, a former professor of law, and frequently appears as an expert legal commentator throughout the national media.

Mr. Smith has tried jury and bench trials in state and federal court and has litigated cases involving billions of dollars. He has tried cases involving complex synthetic derivative financial products, real estate transactions, large corporate raiding efforts, partnership disputes and international commodity trades. As co-counsel in a federal jury trial, Mr. Smith won a million-dollar judgment in a precedent-setting civil rights case that a cover story in The New York Times proclaimed to be the largest of its kind in New York history. Mr. Smith tried the largest no-fault insurance trial in U.S. history for $23 million, and represented New York businesses in a multi-billion dollar challenge to New York's participation in the "cap and trade" scheme called the Regional Greenhouse Gas Initiative. Mr. Smith represented Texas state legislators before the United States Supreme Court and represented African-American women seeking to start a hair braiding company in a highly publicized constitutional challenge to New York state economic regulations.

After graduating from the New York University School of Law, Mr. Smith clerked for a federal trial court judge. Upon the completion of his clerkship, Mr. Smith joined Skadden, Arps, Slate, Meagher & Flom LLP in New York City. From there, he joined the high profile, nationally recognized law firm of Kasowitz Benson Torres & Friedman LLP where he was a full partner for several years.

Mr. Smith's legal practice covers a broad spectrum of areas, including complex commercial disputes in the following: business, employment, computer software, securities, civil rights, bankruptcy, constitutional, real estate, intellectual property, medical malpractice, class actions, casinos and antitrust matters. Mr. Smith has litigated matters involving major international companies such as Goldman Sachs, Bank of America, Charles Schwab, JP Morgan Chase, Wachovia, A.I.G., Adelphia Communications Corp, Talk Miramax, FoxMeyer Drug Company, Continental Grain Company, Unilever, Salomon Smith Barney, and the U.S. Trust Company.

Outside of the courtroom, Mr. Smith is often sought out as an advisor to companies and individuals seeking to avoid engaging in activities leading to costly disputes or legal liability. Mr. Smith has provided counsel to clients engaged in a wide variety of commercial transactions and business dealings including companies doing business in China, Hong Kong, and the European Union. Mr. Smith has advised clients in connection with matters involving employment, severance, licensing, agency, assignment, intellectual property, film financing, publishing, settlement, and secured lending agreements and arrangements. Mr. Smith has advised creditors, debtors, and debtors-in-possession on bankruptcy issues. He has advised magazines, pet product companies, bestselling authors, bank trustees, bloggers, music organizations, attorneys, and celebrity clients.

As both a former Adjunct Professor of Law at the University of Kansas School of Law, and former editor of the Harvard Journal of Law and Public Policy, Mr. Smith has been recognized as a legal expert by several publications such as Policy Experts 2003: The Insider Guide to Public Policy Experts and Organizations, The Journalist's Guide to Legal Experts, and Policy Experts 2000: A Guide to Public Policy Experts.

Mr. Smith has frequently appeared as an expert legal analyst throughout the national media and appears regularly on CNN, the Fox News Channel, MSNBC and CNBC. He has also been the subject of numerous articles in The New York Times, the Wall Street Journal, the New York Post, the Weekly Standard, the Washington Times, the New York Observer, the National Law Journal, Slate, The Hill and ABC News' The Note.

Mr. Smith is a member of the American Theatre Wing's Advisory Committee and a Broadway Tony Awards voter. He is also a member of the Association of Professional Ball Players of America.

Mr. Smith has achieved an AV Preeminent Lawyer ranking by Martindale-Hubbell, which is the highest ranking available for an attorney. Mr. Smith's professional and personal accomplishments earned him an Alumnus of the Year honor from the University of South Carolina's Honors College and a Lifetime Achievement Award from the Bronx, New York Conservative Committee.

Born in Maryland and raised in Vermont, Mr. Smith played semi-professional baseball in the Northern League for the Saxtons River Pirates. He then went on to receive a Bachelors degree in Economics from the University of South Carolina where he was a member of the All American Debate Team. He graduated Phi Beta Kappa.

Nancy Damiano

Nancy Damiano is a manager in FINRA’s Advertising Regulation Department. Previously, she was an associate manager and analyst in the Department, serving in similar roles at NASD before its 2007 consolidation with NYSE Member Regulation, which resulted in the formation of FINRA. Prior to joining NASD, Mrs. Damiano was a registered principal at Legg Mason in Baltimore, MD. Previous to this role, she was a wholesaler with Legg Mason in Baltimore, MD. Mrs. Damiano received her bachelor’s degree from Christopher Newport University and completed her M.B.A. at Strayer University.

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