Peter Tepley, Partner, RumbergerKirk to Speak at The Knowledge Group’s Event
The Knowledge Group, the leading producer of regulatory focused webcasts, has announced today that Peter Tepley, Partner, RumbergerKirk will speak at its webcast entitled, “Latest Continuing Education (CE) Requirements: A Comprehensive Guide for FINRA-Registered Practitioners LIVE Webcast.”
- (1888PressRelease) May 13, 2021 - This event is scheduled for Thursday, May 13, 2021 from 3:00 PM to 4:00 PM (ET).
For further details, please visit: https://knowledgewebcasts.com/know-portfolio/latest-continuing-education-requirements-cle/
About Peter Tepley
Peter Tepley is a partner in the Birmingham office of RumbergerKirk. Tepley frequently represents securities broker dealers, including clearing brokers, and their registered representatives in customer, employment, and industry disputes in FINRA arbitrations as well as state and federal courts. He also represents public and private companies and their officers and directors in a variety of complex business disputes, including business torts and breach of contract cases. He defends businesses and individual officers and directors in class actions, including securities class actions.
About RumbergerKirk
RumbergerKirk provides litigation and counseling services in a wide range of civil practice areas including product liability, commercial litigation, construction, real estate, intellectual property litigation, securities litigation, financial services litigation, labor and employment law, bankruptcy, insurance coverage, professional liability and administrative law. Offices are located in Orlando, Tampa, Miami, Tallahassee and Birmingham.
Abstract
In December 2020, the Financial Industry Regulatory Authority (FINRA) Board of Governors approved filing to the Securities and Exchange Commission (SEC) its proposed changes to the continuing education (CE) program under FINRA Rules 1210 and 1240. The changes, which aim to provide FINRA-registered practitioners a timely regulatory developments training, will require them to complete their CE program yearly.
The regulatory landscape remains uncertain as the proposed amendments still need approval from the SEC. FINRA-registered practitioners must, therefore, keep themselves abreast of any emerging development in the area and must review their CE requirements to ensure that they comply with FINRA Rules.
In this CLE program, FINRA attorneys Peter Tepley (RumbergerKirk) and Tracey Salmon-Smith (Faegre Drinker Biddle & Reath LLP) will provide the audience with an in-depth analysis of the proposed changes to FINRA Rules 1210 and 1240. Speakers will also share red flags as well as practical ways to ensure compliance with their CE requirements.
This LIVE Webcast will discuss the following:
• FINRA Rules 1210 and 1240: Key Takeaways
• Proposed CE Amendments: Implications
• Continuing Education Requirements
• Tips for Maintaining FINRA Registration
• Best Compliance Practices
About The Knowledge Group
Founded in November 2006, The Knowledge Group has been at the forefront of providing quality continuing education programs for lawyers, accountants, financial executives, risk and compliance specialists, human resources professionals, technology officers, and business consultants in a wide range of industries.
The Knowledge Group strives to be the best-in-class provider of continuing education by bringing forth relevant content you can’t get anywhere else.
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