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General Brokerage and Supervision

SKU: FR3400
Total Credits
1 - 1.2
Price$50
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Description

This CLE program will address advertising sales practice issues applicable to general brokerage firms and their registered representatives.

FINRA staff and industry practitioners will discuss advertising compliance and sales practice issues applicable to general brokerage firms and their registered representatives. Industry panelists explore advertising compliance challenges and explain how they address the advertising rules with respect to the creation and preparation of marketing materials, supervision, dually registered representatives, and seminar and radio shows. This panel also covers current areas of interest such as private placements and consolidated reports.

Lecturer Bios

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.

MArk Bleich

Mark Bleich is Principal Analyst in FINRA’s Advertising Regulation Department and has served in this role since 2001. Mr. Bleich began his career in securities regulation as an Analyst in NASD’s Market Regulation Department in 1995. Prior to joining the organization, Mr. Bleich was employed by the federal government in the background investigation and security clearance fields. He has a B.A. from the University of Maryland and an M.A. from George Washington University. He also completed the Certified Regulatory and Compliance Professional™ (CRCP™) program through the FINRA Institute at Wharton.

Joe Fleming, Esq.

Joe Fleming is Chief Compliance Officer for Advice and Wealth Management, joining Ameriprise in that role in October 2017. He is responsible for the overall strategy and operation of AWM Compliance, including Compliance Policy and Training, Broker-Dealer Operations and Financial Compliance Oversight, Surveillance, AML/Anti-Fraud, Field Office Inspections, Products and Services Compliance, and Licensing and Registration Compliance. Prior to joining Ameriprise, Mr. Fleming was Head, Business Risk (2017) and Chief Compliance Officer (2005-2016) for RBC Wealth Management. While at RBC, he also served in several other lead compliance roles, including for RBC US’ mutual fund company, trust company and private bank. Prior to RBC, Mr. Fleming was Chief Compliance Officer for Piper Jaffray Companies/US Bancorp Piper Jaffray (1999-2005), where he also served as Director of Compliance for US Bancorp Asset Management, and US Bancorp Investments, its bank broker-dealer. He has the following securities licenses: Series 7, 63, 24, 4, 65, 8, 14, and 3, and a Minnesota insurance license (expired). Mr. Fleming frequently serves on FINRA and SIFMA committees, currently serving on FINRA’s Membership Committee and SIFMA’s Compliance and Regulatory Policy Committee, and previously serving on the FINRA/Securities Industry Council on Continuing Education, including one year as its Chair. He is a regular presenter at SIFMA and FINRA conferences. He is also an adjunct professor at the University of St. Thomas Law School, and a member of its Ethics and Compliance Program Advisory Committee. He previously taught at William Mitchell College of Law, and the Wharton School of Business / NASD Certificate Program for Compliance and Regulatory Professionals.

Cameron Hellewell, Esq.

As General Counsel of Orchard Securities, LLC, Cameron Hellewell’s responsibilities focus on working with Orchard’s sponsor clients and its broker-dealer selling group members in connection with the offer and sale of securities, including alternative investments through both publicly-registered, non-traded programs and private placements. He also assists Orchard’s Chief Compliance Officer with respect to Orchard’s regulatory compliance, and works closely with Orchard’s outside counsel and the legal counsel to sponsors on a wide range of issues. Prior to joining Orchard, Mr. Hellewell’s professional experience includes working for an international commercial real estate company, and a commercial real estate development company that developed assisted living centers, retail projects and office buildings. Mr. Hellewell earned his bachelor’s degree from the University of Utah and his juris doctorate from the Case Western Reserve University School of Law. He is also a member of the Utah State Bar, the District of Columbia Bar, and the American Bar Association.



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