Speaking Engagements
National Society of Compliance Professionals (NSCP)
Denver Securities Compliance Roundtable
Society of Settlement Planners
Federal Reserve Bank
New York Law School
- 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
FINRA Requests for Comment
Cadwalader Cabinet
NSCP Currents Newsletter
- 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
- Regulatory Notice 17-20: FINRA Requests Comment on the Effectiveness and Efficiency of Its Rules on Outside Business Activities and Private Securities Transactions
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 |
| Best of Currents - 2015.pdf |
