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FINRA Qualification Examination Program Restructure, Registration Rules and CE Online

SKU: FR2900
Total Credits
1
Price$50
  • Online Access
  • Smartphone
  • iPad/iPod/Tablets
  • CDs/DVDs

Description

This CLE program provides guidance on recent regulatory developments and compliance practices, as it pertains to the restructuring of the representative level qualification examination program, finalization of the registration rules and an update on CE Online as well as future directions for the CE Regulatory Element programs. Panelists offer practical answers to questions about these program changes.

After attending this session, you will be able to:

  • Understand the current status of CE Online and the timelines for phasing out test center delivery for the CE Regulatory Element
  • Describe FINRA’s considerations for the future evolution of the CE Regulatory Element programs
  • Discuss the important points of FINRA’s proposed restructuring of the representative level qualification examination program
  • Compare and contrast key changes to the registration rule filing
  • Summarize the timelines for the changes to the Qualification Examination Program and Registrations Rules

FINRA® is a registered trademark of the Financial Industry Regulatory Authority, Inc.

Lecturer Bios

John Kalohn

John Kalohn is Co-Chair of FINRA’s Diversity Leadership Council (DLC) and Vice President, FINRA, Registration and Disclosure. He was a founding member of the DLC in 2009 and has served on the council’s Communication, Education and Training subcommittee. He leads FINRA’s efforts in the development, maintenance and delivery of the securities industry qualification examinations and continuing education programs. He has more than 20 years of experience in educational measurement and assessments, and extensive experience developing, implementing and managing assessment programs for professional licensure and university admissions. Dr. Kalohn’s prior experiences include service with one of the nation’s largest providers of educational and workplace measurement and research services. He holds a bachelor’s degree from State University of New York, a master’s degree from Wake Forest University and a doctorate from the University of Wisconsin, Madison.

Roni Meikle

Roni Meikle is Senior Director of Continuing Education, FINRA, RAD, in New York where she manages the development and administration of the Continuing Education Regulatory Element Program and provides tools and guidance for the Firm Element Program. In addition, Ms. Meikle serves as the administrator of the Securities Industry/Regulatory Council on Continuing Education (CE Council) and oversees the operations of the council’s website, www.cecouncil.com. She served in similar roles during her tenure with NYSE Regulation before its 2007 consolidation with the NASD, which resulted in the formation of FINRA. Before managing the Continuing Education Program, Ms. Meikle was the Manager of Broker and Specialist Training at the NYSE where she managed the program to train Floor Brokers to use handheld trading technology. She also administered the new orientation program for new trading floor members and oversaw a variety of training for trading floor support staff. Prior to the NYSE, Ms. Meikle previously held a variety of positions in management, systems operations, training and technical writing with Dow Jones, Computer Applications Learning Center, Amerada Hess Corporation, Merrill Lynch and Mutual Benefit Life Insurance Co. She received a Bachelor’s of Science degree in Business from Montclair State University, with a concentration in Systems Management.

Joe McDonald, Esq.

Joe McDonald is Senior Director in FINRA’s Testing and Continuing Education Department, where he manages the FINRA qualification examination and examination waivers programs. Previously, he was a director in FINRA’s Market Regulation Department. Mr. McDonald has been with FINRA for 17 years. Before joining FINRA, he worked as counsel in the Office of Compliance and Inspections and the Division of Market Regulation at the Securities and Exchange Commission, and as a clerk for an administrative law judge at the Commodity Futures Trading Commission. Mr. McDonald received a bachelor’s degree in psychology from the State University of New York at Stony Brook and a law degree from the American University’s Washington College of Law.



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