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Helping Small Firms Navigate the Communications Rules

SKU: FR1006
Available In:
General Credits
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How do small firms stay in compliance with the communications with the public rules? FINRA staff and industry panelists answer audience questions and provide practical tips and helpful guidance as well as how FINRA can help small firms navigate the advertising rules.

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

  • Understand the challenges small firms face regarding advertising compliance;
  • Learn about ways to address and mitigate some of these challenges;
  • Know how to effectively work with FINRA’s Advertising Regulation Department when developing communications;
  • Learn about tips for successful advertising compliance.

Lecturer Bios

Gregory Riviello

Gregory Riviello is a director in FINRA’s Advertising Regulation Department which is responsible for the regulation of FINRA member firms’ communications with the public. Mr. Riviello is responsible for supervising the daily activities of 25 staff devoted to the review of communications filed with the Department. He provides guidance to Department staff and FINRA firms on the application of the advertising rules and interpretations and also assists with the development of these rules. His other responsibilities include coordinating the Department’s recruiting, training and quality control functions. Mr. Riviello has spoken about various advertising regulation topics at industry events and at the FINRA Advertising Regulation Conferences. Mr. Riviello has more than 35 years of experience in the securities industry including 27 years with the Advertising Regulation Department. He is a graduate of West Chester State University in West Chester, Pennsylvania, and holds an MBA from the University of Maryland.

Nanette K. Chern, Esq.

Nanette K. Chern is Chief Compliance Officer for Funds Distributor, LLC, a subsidiary of Foreside Financial Group, LLC based in Portland, Maine. Funds Distributor, LLC is a limited purpose broker-dealer that serves as the principal underwriter to open-end investment companies and as placement agent to privately placed funds. Additionally, Funds Distributor, LLC provides registered representative services to employees of fund sponsors that market fund shares. Ms. Chern serves as the Chief Compliance Officer of eight additional affiliated broker-dealers, as well as serving as the AML Compliance Officer. Ms. Chern has 30 years of experience working in the securities industry with distributors that provide distribution and compliance services to open- and closed-end funds, exchange-traded products, commodity pools, and private placements. Prior to joining Foreside and its affiliated and predecessor firms in 1995, Ms. Chern served as Assistant Counsel at First Investors Corporation in New York City and as Staff Attorney at the New York Regional Office of the U.S. Securities and Exchange Commission. Ms. Chern graduated from Swarthmore College and Fordham University School of Law and maintains her Series 7, 24, and 79 licenses.

John Veator, Esq.

John Veator is Senior Director in FINRA’s Office of Member Relations and Education. His duties include advising firms on FINRA initiatives, rules and resources. He also collects feedback from the industry and advocates for changes to FINRA’s programs where appropriate. Previously, he was a senior counsel in FINRA’s Regulatory Policy Office, where he advised FINRA exam staff on rule interpretations and conducted administrative actions. He was also a senior staff member of FINRA’s Registration and Disclosure Department, where he advised on state securities laws and processes. Prior to joining FINRA, Mr. Veator served as the North American Securities Administrators Association’s (NASAA) Deputy General Counsel and was NASAA’s Acting General Counsel when he left the association to join NASD. Mr. Veator received his bachelor’s degree from Colgate University and his JD from Vanderbilt Law School.

Jim R. Webb

Jim R. Webb, Principal and CEO of Cape Securities, Inc., began his career in 1990 as a financial planner and has continued to grow in the evolving industry. For 14 years of his 27 years, he worked for several fund and annuity companies as their regional wholesaler. In that time, he met with thousands of brokers and hundreds of broker dealers and was a valued partner in their growth. Mr. Webb’s leadership skills, passion for improved services for his clients and reputation as a problem solver all contributed to his success as a wholesaler. In 2007, Mr. Webb became the owner of Cape Securities, Incorporated. Intent on overcoming the challenges of growing a FINRA compliant small firm, Mr. Webb determined that being actively involved in understanding and advocating on regulatory matters and forming strong networking relationships with other small member firms and FINRA was essential for the success and growth of his company. By his steady and enthusiastic joint commitment to his individual business interest and members of the industry as a whole, Cape has grown over the past 10 years from a tiny firm with just two financial advisors into a firm with just under 100 representatives serving customers nationwide. Mr. Webb is a member of the District 7 committee and he is on the Regulatory Advisory Committee (RAC). As a member of these committees Mr. Webb applied a practical and common-sense approach to balancing the needs of regulators, with the challenges faced by a small firm. Mr. Webb enjoys productive interaction with other FINRA members and staff in seeking solutions to problems that face the industry nationwide, he sought to serve and has served, both past and present. Mr. Webb has served as a panelist and speaker at many FINRA regional and National meetings. Topics covered include: How a small firm can best use social media, Changes in business and how to best consult the CMA/MAP groups and Outside Business activities, among others. He currently holds Series 4, 7, 8, 24, 28, 63, and 66 Securities Registrations and insurance licenses. While building his broker dealer he created and insurance agency and a SEC registered investment advisory to provide clients a true financial concierge.

CLE is voluntary for South Dakota attorneys. To view further accreditation details, please click here.

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