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Sales Practices: A Case Study Approach

SKU: FR1009
Total Credits
1 - 1.2
Price$50
  • Online Access
  • Smartphone
  • iPad/iPod/Tablets
  • CDs/DVDs

Description

This CLE program addresses a wide range of topics drawn from recent enforcement cases, including supervisory procedures related to outside business activities, recent exams findings and the disciplinary process. They also highlight potential “red flags” and provide suggestions to help avoid compliance issues.

By the end of this session, you will be able to:

  • Identify the areas of focus from a District perspective.
  • Understand how the investigative and disciplinary process works.
  • Discuss some compliance tips and red flags drawn from advertising and supervision enforcement cases.
  • Key areas of focus from a District examination perspective.
  • How the investigative and disciplinary process works.
  • Some compliance tips and red flags drawn from recent advertising and supervision cases

Lecturer Bios

Elizabeth Page

Elizabeth Page is the Vice President and Director of FINRA’s Boston District office. In this role, she is responsible for the regulatory programs that oversee the FINRA firms and registered representatives within New England and portions of Canada and Europe. Prior to her position in Boston, Ms. Page was the Deputy Director in the FINRA’s Chicago District office and has served in a variety of staff and management roles including managing and conducting onsite examinations of the main offices and branches of FINRA firms, investigations of customer complaints and terminations for cause and applications for membership. Ms. Page has a Bachelor degree in Finance and a Master of Business Administration degree from the University of Denver.

Steven O’Mara

Steven O’Mara is Associate Director in FINRA’s Advertising Regulation Department. Before joining Advertising Regulation, he spent three years in the Market Regulation Department. He also worked for four years as a compliance officer for a regional brokerage firm. Mr. O’Mara holds a master’s degree in business from Johns Hopkins University and a bachelor’s degree from Saint Anselm College.

James E. Day, Esq.

James E. Day is Vice President and Chief Counsel in the Enforcement Department of FINRA. Since joining FINRA, he has been responsible for a number of high profile cases including those relating to research analyst conflicts of interest and other research related issues, advertising, auction rate securities, hedge fund issues (hedge fund soft dollar payments, hedge fund advertising, conflicts of interest), market timing, variable annuity sales, retirement seminars, and sales practice violations involving a variety of products. Prior to joining FINRA, Mr. Day was an attorney specializing in securities enforcement and litigation at Kirkpatrick & Lockhart LLP and Wilmer, Cutler & Pickering. He clerked for Senior Judge Raymond Pettine of the federal district court in Rhode Island. He is a past Chair of the D.C. Bar Corporations, Finance, and Securities Law Section; he has published numerous articles on securities enforcement and litigation issues; and he has taught a number of courses for the ABA and the D.C. Bar on securities enforcement related subjects. He graduated from the University of Pennsylvania Law School (cum laude), where he was an Executive Editor of the University of Pennsylvania Law Review, and from Haverford College (B.A. History with Honors).



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