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New and Evolving FINRA Rules for BDs and Dual Registrants (IA/BD)(Intermediate)

May 17, 2022
11:45 AM - 12:45 PM EDT
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Course Description:

Attention Dual Registrants: Don’t forget about FINRA! While regulatory action by the SEC and DOL has been making headlines recently, FINRA continues to be active as well.

This session will focus on new and evolving FINRA rules, including areas such as continuing education, private placements, restricted firm obligations, borrowing from/lending to customers, OATS, remote branch inspections and more!

Learning Objectives:

After attending this session, you should be able to:

  • Analyze new FINRA rules, rule changes and proposals
  • Review FINRA’s evolving regulatory priorities
  • Assess whether your firm is well-positioned to comply with the new rules and evolving priorities

This course is being taught as part of the Spring 2022 Compliance Conference. To learn more, visit our main conference webpage.

Brian J Baltz
PartnerMcGuireWoods LLP

Brian is a partner in the firm’s Government Investigations and White Collar Litigation Department and member of the Securities Enforcement & Litigation team. Brian counsels financial institution clients with a focus on issues that cut across their broker-dealer, investment adviser, and bank fiduciary business models. This includes advising clients on business and regulatory issues at the intersection of the differing federal and state regulatory schemes that impact their business models, including the U.S. federal and state securities laws, Office of the Comptroller of the Currency (OCC) rules governing bank fiduciaries, and laws governing retirement account fiduciaries under the Employee Retirement Income Security Act of 1974 (ERISA) and Section 4975 of the Internal Revenue Code of 1986.

Brian draws not just from his substantive expertise, but also from his experience in lobbying and advocacy while working for an investment management trade association on issues under the Dodd-Frank Wall Street Reform and Consumer Protection Act and his understanding of the internal workings of the Securities and Exchange Commission (SEC). Brian has held multiple positions in the SEC’s Division of Trading and Markets. While at the SEC, Brian played an active role in SEC staff deliberations over the harmonization of broker-dealer and investment adviser regulations as well as issues impacting retirement accounts and the SEC’s adoption of regulations impacting municipal advisors.

Nicole Del Rosario
ConsultantNRS, a ComplySci Company

Nicole Del Rosario has been in the financial services industry for over 15 years. She joined NRS as a Consultant and is based in Northern Virginia. As a Consultant she conducts examinations, audits and program reviews. Prior to joining NRS Nicole was a Director of Compliance and Anti-Money Laundering Officer at a broker dealer, investment adviser and insurance company. Nicole has a wide range of experience from operations to trading to Compliance.

Nicole has held her Series 7, 24, 4, 66 licenses as well as her Life and Health Insurance Licenses. Currently she holds the Investment Adviser Certified Compliance Professional designation (IACCP®) and the Certified Anti-Money Laundering Specialist designation (CAMS).

For Whom: Designed to increase the professional competence of Investment Advisers and Broker-Dealers.

Suggested Skill Level: Intermediate

Maximum Recommended Credit Hours for this session will include CLE, IACCP® and CPE.


For more information, check out the NRS Continuing Education Guide.