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Enhancing Your Product Knowledge: 2017 FINRA Annual Conference

SKU: FR5300
Total Credits
1
Price$50
  • Online Access
  • Smartphone
  • iPad/iPod/Tablets
  • CDs/DVDs

Description

This CLE program provides guidance on steps firms can take to comply with their due diligence obligations. Panelists discuss the features of popular complex products and their role portfolio diversification.

After attending this session, you will be able to:

  • Discuss industry trends with regards to new products.
  • Review due diligence process when on-boarding new products.
  • Establish product training in your own firms.
  • Learn about new investment product development.
  • Identify risk associated with developing new products.
  • Review and understand disclosure requirements.
  • Learn about product features of alternative investments.
  • Understand and apply FINRA Rules 5122 (Private Placements of Securities Issued by Members) and 5123 (Private Placements of Securities) in your firm.
  • Learn about supervision and due diligence requirements for complex products, including business development companies, private equity and real estate investments.
  • Discuss current industry practices when vetting complex products.

Lecturer Bios

Joseph E. Price, Esq.

Joseph E. Price is Senior Vice President, Corporate Financing/Advertising Regulation, at the Financial Industry Regulatory Authority. The FINRA Corporate Financing Department regulates capital-raising activities of broker-dealers; including equity, debt, REIT, closed-end fund, limited partnership offerings and private placements. The FINRA Advertising Regulation Department regulates broker-dealer sales materials, mutual fund advertisements, social media and other communications with the public. Mr. Price previously worked in various capacities at the Securities and Exchange Commission. He was an assistant general counsel and a special counsel in the Office of General Counsel and he was the Deputy Chief of the Office of Disclosure and Investment Adviser Regulation in the Division of Investment Management. Prior to working at the SEC, he was a litigator in the Bureau of Competition at the Federal Trade Commission. Mr. Price also worked as a compliance investigator at the Coffee, Sugar & Cocoa Exchange. He was an Adjunct Professor at Georgetown University Law Center from 1994 to 2002, where he taught “Current Issues in Securities Regulation” and “Disclosure under the Federal Securities Laws.” He graduated with distinction in economics from the University of Wisconsin and received his law degree from Fordham University.

Deborah S. Froling, Esq.

Deborah S. Froling is Of Counsel in Kutak Rock’s Washington, D.C. office. Ms. Froling is a member of the firm’s Corporate Securities and Real Estate practice groups. She has more than two decades of experience in public and private offerings of debt, equity and convertible securities as both issuer’s and underwriter’s counsel primarily for real estate companies. She also has extensive experience in the tenant-in-common syndication industry and the non-traded REIT, equipment finance, and oil and gas industries. Ms. Froling also has worked with public and private company clients providing general corporate counseling and advising on periodic and annual reporting and other Securities and Exchange Commission (SEC) disclosure requirements. Previously, Ms. Froling worked for two national law firms in Washington, D.C. and a nationally recognized law firm in real estate securities in Richmond, Virginia. She also was an attorney-advisor in the Division of Corporation Finance at the SEC where she examined and analyzed transactional and periodic filings for compliance with federal securities laws, primarily for REITs and syndicated limited partnerships. Ms. Froling is a member of numerous professional associations and is a past president of the National Association of Women Lawyers. Her memberships include the Alternative and Direct Investment Securities Association (f/k/a the Real Estate Investment Securities Association) where she has previously served as the treasurer, a member of the board of directors and chair of the Legislative and Regulatory Committee; and the American Bar Association’s Section of Business Law, where she is a part of the leadership of the State Securities Subcommittee. Ms. Froling received a B.A. from The College of William & Mary, and earned her J.D. from the Columbus School of Law at The Catholic University of America. She is admitted to practice in the District of Columbia and Virginia.

Nathan Headrick

Nathan Headrick is Managing Partner of Triloma and President of Triloma Securities, an alternative investment platform with opportunities across multiple asset classes including private equity, real estate, restaurants, capital markets, and energy. Mr. Headrick is a recognized advocate and leader in the alternative investments industry. Prior to joining Triloma, he served as President of Bluerock and held numerous leadership roles within the CNL companies. Under Mr. Headrick’s leadership, these firms raised over $6 billion in public alternative investment capital, representing hundreds of thousands of investors within the retail broker dealer channel. Mr. Headrick also served as Chief Legal Officer to Corporate Capital Trust, a public business development company. To date, Mr. Headrick has placed $12.5 billion of public and private equity securities into the alternative investment marketplace, including syndication of public joint ventures with KKR, The Macquarie Group and CB Richard Ellis. Mr. Headrick is the founder and current chairman of the IPA Policy Advocacy Committee (IPAPAC), which acts as the alternative investment industry’s primary lobbying voice. He was also the co-founder of DDWizard.com, a securities due diligence software firm he sold in late 2014. Mr. Headrick earned his Juris Doctor from Georgetown University Law Center, where he was elected student body president. He additionally holds a Masters of Theology from Harvard University and BAs from the University of North Carolina in political science and international studies. In 2008, Mr. Headrick was inducted into the bar of the United States Supreme Court. The same year, he received the Orlando Business Journal 40 Under 40 Award, recognizing the forty most influential business persons in Central Florida under the age of forty. He is a member of the DC Court of Appeals bar and the Florida bar. In 2012, Mr. Headrick was appointed to a term on the FINRA Corporate Finance Committee.

Matthew Vitek

Matthew Vitek is the Vice President of Legal at FS Investment Solutions, FS Investments’ wholly-owned broker-dealer subsidiary. Mr. Vitek is also a member of FS Investments’ Government Affairs team where he supports the company’s regulatory and legislative initiatives. Prior to joining FS Investment Solutions, Mr. Vitek served as Associate General Counsel in the Office of General Counsel at the Financial Industry Regulatory Authority (FINRA) where he was responsible for various policy initiatives and rule changes. Earlier in his career, Mr. Vitek was a counsel in FINRA’s Department of Member Regulation where he provided interpretative advice on FINRA rules and regulatory guidance with respect to the federal securities laws and related rules and regulations. Mr. Vitek earned a BA in Communication from the University of New Mexico, a MBA from Baylor University, a JD from Drake University and a LLM in Securities and Financial Regulation from the Georgetown University Law Center.



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