Speaking Engagements

National Society of Compliance Professionals (NSCP)

• Member In Charge, National Membership Conference, various sessions, 2018-2022
• 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 System

• Guest Lecturer, Financial Education: Community Classroom Connection, 2014

​New York Law School

• Guest Lecturer, Correspondent Clearing Relationships, 2011

Publications

SEC Requests for Comment

• Release No. 34-83062: Proposed New Regulation Best Interest

            NSCP Comment Letter, August 7, 2018

FINRA Requests for Comment

• Regulatory Notice 21-19: FINRA Requests Comment on Short Interest Position Reporting Enhancements and Other Changes Related to Short Sale Reporting

            Provable Markets LLC Comment Letter, September 30, 2021

• Regulatory Notice 18-08: FINRA Requests Comment on a Proposed New Rule Governing Outside Business Activities and Private Securities Transactions

            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

​Requests for FINRA Interpretive Guidance

• Request for FINRA Interpretive Guidance on Equity Securities as Compensation for Capital Acquisition Brokers (CABs), May 9, 2019

            FINRA Interpretive Letter

​Fried, Frank, Harris, Shriver & Jacobson LLP Regulatory Intelligence (f/k/a Cadwalader Cabinet)

• Author, Daily Focus (f/k/a Weekly Roundup), 2014-2017

​NSCP Currents Newsletter

• "Secondary Trading in JOBS Act Securities," June 2015 & Best of 2015 Issues

Currents - June 2015.pdf
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Best of Currents - 2015.pdf
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