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FINRA Regulatory Highlights

SKU: FR1007
Total Credits
1 - 1.2
Price$50
  • Online Access
  • Smartphone
  • iPad/iPod/Tablets
  • CDs/DVDs

Description

This panel will share in-depth information on issues ranging from FINRA’s senior initiative and the Securities Helpline for Senior, JOBS Act (Jumpstart Our Business Startups Act) developments including private placements, changes in fixed income regulation and the use of auto-advice by financial services firm.

After attending this session, you will be able to:

  • Discuss the potential impact and status of the Department of Labor’s Fiduciary Rule and related Prohibited Transaction Exemptions.
  • Review recent developments concerning FinTech, including FINRA’s Innovation Outreach Initiative.
  • Understand FINRA’s retrospective review of its rules governing outside business activities and private securities transactions.

Lecturer Bios

Joseph P. Savage, Esq.

Joseph P. Savage is a Vice President and Counsel in FINRA’s Regulatory Policy Department. Mr. Savage specializes in a broad range of securities regulatory matters, including investment management, investment company, advertising and broker-dealer issues, and regularly appears at conferences regarding these issues. Prior to joining FINRA, he was an Associate Counsel with the Investment Company Institute and an attorney with the law firms of Morrison & Foerster LLP and Hunton & Williams. Mr. Savage also served as a judicial law clerk for United States District Judge John P. Vukasin of the Northern District of California. Mr. Savage holds a bachelor’s degree from the University of Virginia, a master’s degree in public policy from the University of California, Berkeley, and a J.D. from the University of California, Hastings College of the Law, where he served as Note Editor of the Hastings Law Journal.

Meredith Cordisco, Esq.

Meredith Cordisco is Associate General Counsel with FINRA’s Office of General Counsel. In this capacity, she provides legal guidance on policy initiatives, rule changes and interpretations in various areas, including regarding new issues and spinning, private securities transactions and outside business activities. Before joining FINRA, Ms. Cordisco was counsel in the Securities Litigation and Enforcement group at WilmerHale, where she focused her practice on complex securities enforcement investigations. Ms. Cordisco received her B.S., summa cum laude, in International Business and French from Mount St. Mary’s University in Emmitsburg, Maryland, and her J.D., summa cum laude, and M.B.A., cum laude, from Villanova University. Following her studies, Ms. Cordisco clerked for the Honorable Eduardo C. Robreno on the U.S. District Court for the Eastern District of Pennsylvania.

Angela Carcone Goelzer, Esq.

Angela Carcone Goelzer is Vice President of FINRA’s Office of Regulatory Analysis department and has been with the organization since 2003. Prior to joining FINRA, she was Vice President, Investment Company Directors, at the Investment Company Institute, a trade group for the U.S. mutual fund industry. From 1983 to 1991, she served in various capacities at the Securities and Exchange Commission, including Deputy Chief Counsel and Senior Counsel to the Director in the Division of Investment Management. Ms. Goelzer received a BA in political science summa cum laude from Providence College and a JD from Harvard Law School.

Haimera Workie, Esq.

Haimera Workie is Senior Director responsible for heading up FINRA’s Office of Emerging Regulatory Issues, which focuses on analyzing new and emerging risks and trends related to the securities market. Previously, Mr. Workie served as Deputy Associate Director in the Division of Trading and Markets at the U.S. Securities and Exchange Commission. In this capacity, Mr. Workie was tasked with developing a variety of Dodd-Frank Act related rulemakings, supervising policy matters related to market intermediaries and financial market utilities, and representing the Commission before several international standard setting bodies. Mr. Workie also previously served as Counsel to Commission Chair Mary Schapiro. Prior to joining the Commission, he was an associate at the law firm of Skadden, Arps, Slate, Meagher & Flom, with a practice focusing on corporate law. He is a graduate of the Massachusetts Institute of Technology (B.S., M.S.) and Harvard Law School (J.D.).



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