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Speaking Engagements
National Society of Compliance Professionals (NSCP)
  • Member In Charge, National Membership Conference, various sessions, 2018-2020
  • Panelist, National Membership Conference, "Making Written Supervisory Procedures (WSPs) User Friendly," 2017
  • Panelist, Spring Conference, "Empowerment Tools for Compliance Professionals:  How to Win Support and Influence People," 2017
  • Panelist, National Membership Conference, “Writing Policies and Procedures,” 2016
  • ​Panelist, Regional Conference, "How to Facilitate Communications with the Public," 2015
  • Panelist, National Membership Conference, "Institutional Sales, Trading, Banking and Research," 2014

​Denver Securities Compliance Roundtable
  • Moderator, Regional Meeting, "SEC & FINRA Branch Examinations," 2016
  • Panelist, Regional Meeting, "DOL Fiduciary Rule," 2016

Society of Settlement Planners
  • Keynote Panel Speaker, Annual Conference, "Fiduciary Standards," 2015

Federal Reserve Bank
  • Guest Lecturer, Financial Education: Community Classroom Connection, 2014

​New York Law School
  • Guest Lecturer, Correspondent Clearing Relationships, 2011
Publications
Request for FINRA Interpretive Guidance
  • Request for FINRA Interpretive Guidance on Equity Securities as Compensation for Capital Acquisition Brokers, May 9, 2019
            FINRA Interpretive Letter
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FINRA Requests for Comment
  • Proposed New Regulation Best Interest, NSCP Comment Letter
            NSCP Comment Letter, August 7, 2018
  • Regulatory Notice 18-08: FINRA Requests Comment on a Proposed New Rule Governing Outside Business Activities and Private Securities Transactions, NSCP Comment Letter
            NSCP Comment Letter, April 17, 2018 
  • Regulatory Notice 17-38: FINRA Requests Comment on a Proposal to Amend Rule 3110 (Supervision) to Provide Firms the Option to Conduct Remote Inspections of Offices and Locations That Meet Specified Criteria         
            NSCP Comment Letter, January 12, 2018
  • Regulatory Notice 17-20: FINRA Requests Comment on the Effectiveness and Efficiency of Its Rules on Outside Business Activities and Private Securities Transactions
            NSCP Comment Letter, June 29, 2017

​Cadwalader Cabinet
  • Author, Weekly Roundup, 2014-2017

​NSCP Currents Newsletter
  • "Secondary Trading in JOBS Act Securities," June 2015 & Best of 2015 Issues
Currents - June 2015.pdf
File Size: 927 kb
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Best of Currents - 2015.pdf
File Size: 867 kb
File Type: pdf
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Financial Crimes Enforcement Network (FinCEN)
Financial Industry Regulatory Authority (FINRA)
Office of Foreign Assets Control (OFAC)
U.S. Securities and Exchange Commission (SEC)

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