Preparing for and Enduring a FINRA Examination

09/25/2013 09:00 a.m. - 10:00 a.m.

Banking + Financial Services, Corporate Finance | Capital Markets, Financial Institutions + Financial Services, and Broker-Dealer Compliance + Regulation

Morrison & Foerster, LLP
1290 Avenue of the Americas
Floor 39
New York, NY 10104

Seminar

For presentation materials, click here.

The three things that we can count on? Death, taxes and FINRA’s exam cycle. As FINRA’s regulatory responsibilities have increased, it is attempting to use its resources more efficiently through risk-based examinations, and it is becoming increasingly aggressive in pursuing an expanding list of hot topics. At the same time, there are many formerly standard examination boxes that FINRA is no longer checking off. In short, routine exams are not so routine anymore.

MoFo partner Daniel Nathan was, until recently, head of regional enforcement at FINRA, where he played an important role in the examination process. He will provide a very practical presentation on preparing for cycle examinations, both in terms of process – how to make sure your house is in order before the inspector comes – and substance – what are the hot topics for FINRA when reviewing a firm’s procedures and practices. And Dan will also provide tips on how to head-off potential adverse findings when examiners are on site and asking difficult questions. Join us for this most useful session.

Speakers:

  • Daniel A. Nathan
    Partner, Morrison & Foerster LLP
     
  • Justin Kletter
    Director & Assistant General Counsel, Bank of America Merrill Lynch

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