Speaking Engagements
National Society of Compliance Professionals (NSCP)
Denver Securities Compliance Roundtable
Society of Settlement Planners
Federal Reserve System
New York Law School
- 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
FINRA Requests for Comment
Requests for FINRA Interpretive Guidance
Fried, Frank, Harris, Shriver & Jacobson LLP Regulatory Intelligence (f/k/a Cadwalader Cabinet)
NSCP Currents Newsletter
- Release No. 34-83062: Proposed New Regulation Best Interest
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
- Regulatory Notice 18-08: FINRA Requests Comment on a Proposed New Rule Governing Outside Business Activities and Private Securities Transactions
- 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
Requests for FINRA Interpretive Guidance
- Request for FINRA Interpretive Guidance on Equity Securities as Compensation for Capital Acquisition Brokers (CABs), May 9, 2019
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 | |
File Size: | 927 kb |
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Best of Currents - 2015.pdf | |
File Size: | 867 kb |
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