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Speaking Engagements National Society of Compliance Professionals (NSCP) Panelist, National Membership Conference, "Making Written Supervisory Procedures (WSPs) User Friendly," 2017 Panelist, Spring Conference, "Empowerment Tools for Compliance Professionals: How to Win Support and Influence People," 2017 Panelist, National Membership Conference, “Writing Policies and Procedures,” 2016 Panelist, Regional Conference, "How to Facilitate Communications with the Public," 2015 Panelist, National Membership Conference, "Institutional Sales, Trading, Banking and Research," 2014 Denver Securities Compliance Roundtable Moderator, Regional Meeting, "SEC & FINRA Branch Examinations," 2016 Panelist, Regional Meeting, "DOL Fiduciary Rule," 2016 Society of Settlement Planners Keynote Panel Speaker, Annual Conference, "Fiduciary Standards," 2015 Federal Reserve Bank Guest Lecturer, Financial Education: Community Classroom Connection, 2014 New York Law School Guest Lecturer, Correspondent Clearing Relationships, 2011
Publications FINRA Requests for Comment Regulatory Notice 17-38: FINRA Requests Comment on a Proposal to Amend Rule 3110 (Supervision) to Provide Firms the Option to Conduct Remote Inspections of Offices and Locations That Meet Specified Criteria NSCP Comment Letter (http://www.finra.org/industry/notices/17-38), January 10, 2018 Regulatory Notice 17-20: FINRA Requests Comment on the Effectiveness and Efficiency of Its Rules on Outside Business Activities and Private Securities Transactions NSCP Comment Letter (http://www.finra.org/industry/notices/17-20), June 29, 2017 NSCP Currents Newsletter "Secondary Trading in JOBS Act Securities," June 2015 & Best of 2015 Issues Currents - June 2015.pdf
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Best of Currents - 2015.pdf
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Cadwalader Cabinet Author, Weekly Roundup, 2014-2017
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