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Regulatory Reporting Requirements

SKU: FR1400
Total Credits
1 - 1.2
Price$50
  • Online Access
  • Smartphone
  • iPad/iPod/Tablets
  • CDs/DVDs

Description

This CLE program provides guidance on the key requirements for maintaining Forms U4 and U5, and reporting obligations under FINRA Rule 4530 (Reporting Requirements). FINRA panelists highlight the key requirements for maintaining Forms U4 and U5, and customer complaint reporting obligations under FINRA Rule 4530.

Topics discussed:

  • Understand common practices and other issues related to Form U4, U5, U6 and FINRA Rule 4530 (Reporting Requirements)
  • Discuss recent rule updates and proposed changes regarding reporting requirements
  • Identify common firm practices, procedures and policies for timely reporting, the vetting of information, and the handling of customer complaints

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

Lecturer Bios

Anthony Cavallaro, Esq.

Anthony Cavallaro is a senior vice president and the head of the Central Review Group of FINRA’s Office of Fraud Detection and Market Intelligence. He is responsible for managing two units that review and investigate regulatory filings, complaints and other matters received regarding violations of SEC and FINRA rules and regulations. Mr. Cavallaro reports to the Department’s Executive Vice President. Prior to his current role, Mr. Cavallaro was a vice president in the Member Regulation Department and also served in the Enforcement Department of FINRA where he managed two units that investigated and prosecuted violations of securities laws and regulations. Mr. Cavallaro was a vice president at the New York Stock Exchange and began serving at FINRA when NYSE Member Regulation and Enforcement consolidated with NASD to form FINRA in 2007. Prior to joining the NYSE in 1997, Mr. Cavallaro was an Assistant District Attorney in the New York County District Attorney’s Office where he was responsible for investigating and prosecuting various criminal matters including white-collar cases. Mr. Cavallaro received his law degree from St. John’s University School Law and a B.S. in finance from Fordham University, College of Business Administration. He is a military veteran and retired with the rank of major after 20 years of service in the US Army Reserve.

Monica Daggs

Monica Daggs is Senior Vice President, Implementations and Trading at Sorrento Pacific Financial, LLC and CUSO Financial Services, LP (SPF & CFS). Her current role includes oversight of the firms’ trading services, implementations, internal audit, and regulatory compliance. Ms. Daggs has more than 15 years of industry experience in Operations, Compliance, Legal, and Internal Control with a strong background working with financial institutions and independent contractor models. Having joined SPF & CFS in 2005 to oversee the internal control and supervisory structure of the firm, Ms. Daggs has also directly overseen Compliance, Internal Control and Registration. Prior to joining SPF & CFS, Ms. Daggs was responsible for day-to-day management of advisory compliance for Linsco/Private Ledger with a focus on system automation and internal surveillance. She has served as the FINRA District 2 Representative for large firms and has served on the FINRA Regulatory Advisory Committee. Ms. Daggs received her bachelor degree from the University of Illinois.

Mario DiTrapani

Mario DiTrapani is Vice President, FINRA, Registration and Disclosure (RAD), which is responsible for the operation of the Central Registration Depository (Web CRD®), the Investment Adviser Registration Depository (IARDTM) and FINRA BrokerCheck®. His current management responsibilities encompass the following RAD units: Regulatory Services and Operations, Regulatory Review and Disclosure, Quality Control and Communications. Mr. DiTrapani began his tenure with FINRA in 2006 as part of NASD, which consolidated with the NYSE Member Regulation in 2007 to form FINRA. Mr. DiTrapani also serves as FINRA’s Executive Sponsor for FINRA’s Latino Affinity Network, an employee resource group designed to promote diversity and inclusion. He also currently serves on the Securities and Insurance Licensing Association’s (SILA) Board of Directors as a Regulatory Advisor. Prior to joining FINRA, he was Senior Vice President and Deputy Director of Compliance for UBS Financial Services Inc., where he oversaw registration, insurance licensing, regulatory reporting, outside accounts and outside business activities. Mr. DiTrapani also served as President of the Association of Registration Management (ARM). He has been a financial services industry professional for over 30 years and has served on various industry/regulatory committees focusing on registration and qualifications issues. Mr. DiTrapani holds a Bachelor of Business Administration degree in Finance and Investments from the Bernard M. Baruch College of the City University of New York.

Mark D. Knoll

Mark D. Knoll is Partner in Bressler, Amery & Ross, P.C., located in New York, New York. Mr. Knoll’s practice focuses on counseling and defending broker-dealers, investment advisers and other financial institutions in regulatory enforcement, litigation and compliance matters. In his regulatory enforcement practice, Mr. Knoll has represented clients in matters before the SEC, FINRA, CFTC, CME, NFA and several state securities regulators involving a wide range of issues, including trading and capital markets, registration, complaint reporting, sales practice, supervision and operations. In his litigation practice, Mr. Knoll has represented issuers in both individual securities fraud and class-action matters, and represents broker-dealers in a wide variety of substantial arbitration and civil litigation matters. Finally, Mr. Knoll also counsels broker-dealer and investment adviser clients regarding all aspects of their compliance programs, along with registration and reporting issues. Prior to joining Bressler, Amery & Ross, Mr. Knoll served as a director and counsel to the regional head of compliance for the Americas at Credit Suisse Securities (USA) LLC.

Debra A. Roth

Debra A. Roth is an executive director and Head of the Compliance Regulatory Group at Morgan Stanley, where she is responsible for coordinating and managing the firm's relationships with the SEC, CFTC, self-regulatory organizations, exchanges, and state regulators on behalf of both the institutional and retail broker-dealers. In this role, she supervises the firm's responses to regulatory examinations, inquiries, sweeps, surveys and ad hoc information requests. Prior to her current role, she oversaw the firm’s U.S. Registration Department, Employee Trading Group, Policies & Procedures Group and Examinations & Inquiries Group. Before joining the Compliance Department, Ms. Roth was the East Coast Head of Client Litigation, where her responsibilities included supervision of arbitrations, litigation and regulatory matters arising in the eastern United States as well as regulatory reporting functions nationwide. She was previously a partner in a New York City law firm where she focused on civil litigation and arbitration matters. She received her law degree from Brooklyn Law School and her bachelor’s degree from Purchase College, SUNY.



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