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Perspective from the Regulators: SEC, FINRA, NASAA
Representatives of the SEC, FINRA and NASAA will share their perspectives on compliance during the pandemic, final and proposed regulatory changes, and other issues that will impact compliance programs in 2020, 2021 and beyond. In addition to questions from the moderator, the regulators will answer audience questions.
After attending this session, attendees should be able to:
- Update your understanding of what most concerns regulators today
- Identify the issues that will determine how you design, adapt and manage your compliance program
- Reconcile what you have heard and read in the media with information straight from those in the know
This virtual course is being taught as part of the Fall 2020 Compliance Conference. It will NOT be recorded and/or made available on-demand after the live presentation. To learn more, visit our main conference webpage.
Examination Director, Diversified, Carrying & Clearing – New York office, FINRA
Justin Triolo is an Examination Director with FINRA’s Diversified, Carrying & Clearing firm grouping and has been with FINRA since April 2004. In his role, Mr. Triolo manages approximately 25 staff members, including Examination Managers and Examiners, who are responsible for conducting examinations of member firms.
Mr. Triolo started his career in Regulation as an Examiner with the Sales Practice Review Unit of New York Stock Exchange Regulation. Prior to joining FINRA, Mr. Triolo was a Senior Analyst for Novations, and responsible for quality assurance testing, curriculum development and training for the Competitive Positions Group of the NYSE. Mr. Triolo has a Bachelor of Arts degree from Gettysburg College.
Associate Regional Director, New York Regional Office, Office of Compliance Inspections and Examinations U.S. Securities and Exchange Commission
Maurya Crawford Keating is an Associate Regional Director in the New York Regional Office of the U.S. Securities and Exchange Commission. She joined the Investment Adviser/ Investment Company unit of the SEC’s Office of Compliance, Inspections and Examinations in 2018.
Before joining the SEC, she was a Lead Director and Associate General Counsel in the National Compliance Office of AXA Equitable Life Insurance Company. Her work for AXA Equitable included advising on a wide range of securities, insurance and investment advisory compliance, product and distribution issues, including international legal and compliance issues associated with AXA Equitable’s affiliation with AXA Group, a global financial services organization.
Maurya was also Vice President, Chief Broker-Dealer Counsel & Investment Advisor Chief Compliance Officer of AXA Advisors, LLC, a full-service broker-dealer and investment adviser. Prior to AXA Equitable, she was an Associate General Counsel at New York Life Insurance Company and Royal Alliance Associates, Inc.
Maurya received her J.D. from St. John’s University School of Law, and her B.A. and M.A. from The Catholic University of America. She is admitted to practice as an attorney in New York state, and is on the Roll of Solicitors of the Law Society of England & Wales.
Bureau Chief, New Jersey Bureau of Securities, NASAA
Christopher W. Gerold is the Chief of the New Jersey Bureau of Securities (“Bureau”) and, pursuant to N.J.S.A. 49:3-66(a), acts as its principal executive officer. As Bureau Chief, Mr. Gerold is responsible for the administration and enforcement of the New Jersey Uniform Securities Law. The primary mission of the Bureau is the protection of New Jersey investors. The Bureau regulates the offer and sale of securities in New Jersey through its registration of securities offerings, financial professionals and companies, examinations, enforcement actions, and investor education initiatives.
Mr. Gerold is also the immediate past President of the North American Securities Administrators Association (“NASAA”) and former Chair of NASAA’s Enforcement Section.
Mr. Gerold started his legal career as a Deputy Attorney General in the Securities Fraud Prosecution Section of the New Jersey Division of Law, where from 2005 to 2010 he represented the Bureau during investigations and was a lead trial attorney in litigated matters. Mr. Gerold represented the Bureau in some of its most complex and contentiously litigated matters, including cases involving suitability, Ponzi schemes, penny stock fraud, failures to supervise, and registration.
Before returning to public service, Mr. Gerold was an attorney with the law firm of Chiesa, Shahinian & Giantomasi PC (“CSG”). While at CSG, Mr. Gerold was a member of the firm’s Securities Litigation and Enforcement Group, where he conducted internal investigations for broker-dealers. Mr. Gerold also represented financial professionals and companies during regulatory investigations and enforcement actions by the U.S. Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), and various state securities regulators.
Mr. Gerold received his J.D. degree from Seton Hall Law and his B.S. degree in finance from Villanova University. Prior to attending law school, Mr. Gerold was a registered representative, having passed the Series 7 and 63 securities exams. Mr. Gerold is admitted to the bar in New Jersey and New York.
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, CFP, IACCP® and CPE .
CA MCLE = 75 minutes
CFP = 1 credit
IACCP® = 75 minutes
CPE = 75 minutes
For more information, check out the NRS Continuing Education Guide.