Hosted by SILA, the SILA Foundation provides various webinars for both SILA members and the general public in its purpose to provide an educational forum for the public in financial services, specifically insurance licensing and securities registration. Participation is free to all attendees and we encourage you to share it with others to include Compliance, Legal Departments, Human Resources, and others who would benefit from these educational webinars. You can view upcoming webinars and view recorded webinars by going to the SILA Foundation website (under Public Resources).
Webinar: Pay-to-Play: FINRA says no way
Date: Thursday, August 3, 2017 3:00PM EST
Join us for this timely presentation that will provide an overview of FINRA’s new “pay-to-play” and recordkeeping Rules 2030 and 4580 which become effective on August 20, 2017.
Our guest speakers are:
- Travis R. Chapin, Greenberg Traurig, P.A.
Mr. Chapin represents broker-dealers and their employees in all aspects of business, including litigation and arbitration before state and federal trial courts, regulators and self-regulatory agencies. He handles a wide range of matters, including sales practice disputes, expungement requests, employment matters, promissory note collections, regulatory investigations and contract disputes.
- Beth A. Black, Greenberg Traurig, P.A.
Ms. Black focuses her practice on a variety of financial services industry litigation and regulatory matters, as well as general commercial litigation. She has represented broker-dealers, commercial banks, investment banks, investment management firms, directors and officers, and public issuers and their management and employees in litigation, investigations and disciplinary proceedings initiated by the SEC, FINRA, FDIC, CBOE and state regulators. She has also conducted internal investigations of publicly traded domestic and foreign companies whose operations are in the United States and China. Additionally, she has represented brokerage firms and their management in various customer-initiated cases, employment cases, and injunction and arbitration proceedings.
Below are the last 7 months of webinar topics presented in coordination with the SILA Foundation. The recordings and powerpoints are all available on the SILA Foundation website
- Surplus Lines - June 2017
- Pet Insurance - May 2017
- Retirement Planning - May 2017
- Flood Insurance 101 - Mar 2017
- Fiduciary Rule Update - Feb 2017
- NARAB Overview and Updates - Jan 2017
- The Nuts and Bolts of Travel Insurance - Dec 2016
- Background Check Industry Trends - Nov 2016