KNOW THE FINRA RULE RELATING TO FINANCIAL ADV 2017 - Preparing for Compliance with FINRA Rule 2273 - By Compliance Global Inc
View: 225
Website https://www.complianceglobal.us/product/700607/JoelBeck/preparing-for-compliance-with-finra-rule-227 |
Edit Freely
Category Finance;Business;AccountantsTaxation
Deadline: February 16, 2017 | Date: February 16, 2017
Venue/Country: Online, U.S.A
Updated: 2017-01-16 18:19:58 (GMT+9)
Call For Papers - CFP
Overview :FINRA Rule 2273 becomes effective in November 11, 2016. The rule requires that broker-dealers provide an Educational Communication Related to Recruitment Practices and Account Transfers when a financial advisor seeks to solicit former clients from another firm to transfer their accounts to the new firm, and even in situations where there is no solicitation. The guidance on FINRA Rule 2273 requires that the educational communication be delivered at certain times depending on manner and timing of contact.Why Should You Attend :The educational communication, developed by FINRA requirements of Rule 2273, highlights issues for an investor to consider when evaluating whether to transfer accounts/assets to another firm, and may raise questions to be addressed by the financial advisor. Financial advisors and firm management should be prepared to address common questions that may arise from this communication.Areas Covered in this Webinar :Learn the requirements of FINRA Supervision Rule 2273 and identify how a firm can establish and enforce procedures to comply, avoiding regulatory actions for compliance failures.Learning Objectives :Learn the requirements of training on FINRA Rule 2273Identify possible best practices for use in your firm’s supervisory systems and proceduresReview FINRA’s guidance on applicability of the new ruleBe able to develop strategies for ensuring compliance with the Rule 2273, to help avoid regulatory actionWho Will Benefit :Compliance OfficersOperations ManagersBroker-DealerSales Managers of Broker-DealersFinancial advisors considering making a transition to another broker-dealer For more information, please visit : https://www.complianceglobal.us/product/700607/JoelBeck/preparing-for-compliance-with-finra-rule-2273/1Email: supportcomplianceglobal.us Toll Free: +1-844-746-4244Tel: +1-516-900-5515Level: IntermediateSpeaker Profile :Joel Beck is an attorney with The Beck Law Firm, LLC in Lawrencevlle, Georgia. Mr. Beck’s practice focuses largely on broker-dealer and investment adviser compliance and regulatory matters, and he counsels individuals and firms on compliance issues, defends regulatory investigations, and assists financial advisors in career transitions. Prior to establishing his firm in 2007, Mr. Beck spent a decade at NASD (now known as FINRA) in the Member Regulation and Enforcement departments.
Keywords: Accepted papers list. Acceptance Rate. EI Compendex. Engineering Index. ISTP index. ISI index. Impact Factor.
Disclaimer: ourGlocal is an open academical resource system, which anyone can edit or update. Usually, journal information updated by us, journal managers or others. So the information is old or wrong now. Specially, impact factor is changing every year. Even it was correct when updated, it may have been changed now. So please go to Thomson Reuters to confirm latest value about Journal impact factor.