Advertising Compliance: Fundamentals of FINRA Rule 2210

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About This Course

This CLE course is designed for attorneys who are new to FINRA’s advertising rules or experienced practitioners interested in a refresher. A panel of FINRA professionals provides an overview of FINRA’s Communications With the Public rule, including filing requirements, internal approval and supervision, and content standards.

Panelists answer questions about how to apply the rules to financial services communications and marketing materials.

Lecturers for this Course

Anthony T. Maher, Esq. Jim Allen John F. Cunningham, Esq. Thomas Dineen, Esq. Natlyn D. Murrain

Lecturer Bios

Anthony T. Maher, Esq.

Anthony T. Maher is a manager in FINRA’s Advertising Regulation Department. He served in the same role at NASD before its 2007 consolidation with NYSE Member Regulation, which resulted in the formation of FINRA. His chief responsibility is managing staff members dedicated to the routine review of member advertisements.

Mr. Maher also speaks at FINRA conferences and events, especially the Department’s Advertising Regulation Conference, where he conducts a highly interactive educational “hands-on” advertising review workshop. Prior to joining FINRA in 1995, he was a registered principal and a compliance analyst for a broker-dealer subsidiary of a life insurance company. Mr. Maher holds a J.D. from George Mason University Antonin Scalia Law School, a master’s degree from Georgetown University and a bachelor’s degree from George Mason University.

Jim Allen

Jim Allen, Principal Analyst, has been with FINRA’s Advertising Regulation Department for almost eight years in total, first joining the Department in 2008 and re-joining again this past spring. Prior to his current tenure he was with Morgan Stanley for six years in their retail product compliance group, focusing on communications with the public.

Mr. Allen has been in the investment industry for more than 25 years as a registered principal, registered representative, and in several administrative and back-office roles. He holds a B.A. from SUNY Potsdam.

John F. Cunningham, Esq.

John F. Cunningham is Associate Principal Analyst in FINRA’s Advertising Regulation Department. He joined the department in December 2000 and his primary responsibility is the review of broker/dealer communications for compliance with applicable rules. He is a member of the department’s training committee.

Prior to joining FINRA, Mr. Cunningham served as a registered representative for nine years. Mr. Cunningham holds a juris doctorate from the University of Baltimore School of Law, a Master of Business Administration from Loyola University of Maryland, and a Bachelor of Science degree in journalism from the University of Maryland.

Thomas Dineen, Esq.

Thomas Dineen is Principal Analyst in FINRA’s Advertising Regulation Department. Prior to joining FINRA/NASD in 2007, he worked as an investment consultant at TD Ameritrade, a financial advisor at Ameriprise, and as a corporate lawyer. Mr. Dineen holds a Bachelor’s degree in English from Columbia University and law degrees from Oxford University and the University of Pennsylvania

Natlyn D. Murrain

Natlyn D. Murrain is a Principal Analyst in the FINRA Advertising Regulation Department. Her primary responsibilities include the review of complex communications for compliance with applicable advertising rules.

Prior to joining FINRA in 2011, Ms. Murrain spent four years as a compliance officer at a member firm. Ms. Murrain holds a Master’s degree from Walden University and a Bachelor’s degree from Virginia Union University.

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Advertising Compliance: Fundamentals of FINRA Rule 2210

About This Course

Lecturers for this Course

Spend less and get more

Dedicated CLE Manager

Riveting Content & an Exceptional Library

Free Customized CLE Tracker

Online, Audio CD, DVD, iOS/Android App, USB Stick

Want Different Options?

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