Tracey Salmon-Smith, Partner, Faegre Drinker Biddle & Reath LLP to Speak at The Knowledge Group’s Event
The Knowledge Group, the leading producer of regulatory focused webcasts, has announced today that Tracey Salmon-Smith, Partner, Faegre Drinker Biddle & Reath LLP 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 Tracey Salmon-Smith
Tracey Salmon-Smith is a partner at Faegre Drinker Biddle & Reath LLP in the Business Litigation Department. She is a member of the Financial Services and Best Interest Compliance teams. Tracey represents broker-dealers before FINRA in arbitrations and mediations related to allegations of sales practice violations and failure to supervise claims. She also handles regulatory inquires, as well as discrimination, whistleblower claims, work-place harassment, wrongful discharge, U5 defamation matters, and expungement proceedings. Previously, Tracey served as in-house counsel at UBS Financial Services Inc. in the litigation group and served seven years as an Assistant United States Attorney for the Eastern District of New York (EDNY). She graduated from Villanova University School of Law. She received her undergraduate degree in English from Dartmouth College.
About Faegre Drinker Biddle & Reath LLP
Faegre Drinker is a firm designed for clients, providing exceptional transactional, litigation and regulatory services to organizations ranging from emerging enterprises to multinational companies. With more than 1,300 attorneys, consultants and professionals in 22 locations across the United States, in the United Kingdom and in China, Faegre Drinker is one of the nation's top-50 law firms. Faegre Drinker Consulting and the District Policy Group, the firm's advisory and advocacy divisions, based in Washington, D.C., provide public policy, regulatory and technical services to key sectors of the economy. Additional services include Tritura Information Governance, the firm's data science subsidiary, and Innovative Health Strategies, a health care consultancy that helps hospitals operate efficiently and improve quality of service. Learn more at FaegreDrinker.com.
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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