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Top Regulatory Updates So You Can Sleep At Night
Course Information
Content Level: Foundational
NAPFA Subject Area: K-Marketing and Practice Management
Course Description
Announcing a twice-yearly compliance update! Attorneys Trina L. Glass, Esq., and Jeff A. Lang, Esq., will summarize key issues in compliance at the state and SEC levels to help you best serve your clients. Areas of focus include the latest on:

• The DOL rollover rule; marketing, testimonials and endorsements; navigating regulatory exams; the importance of full disclosure, and how to properly disclose conflicts of interest and other new areas of regulatory focus.

It is imperative to understand these focus areas if you wish to work with clients in the most compliant manner and avoid costly regulatory findings, client refunds, and arbitration/litigation proceedings.
Learning Objectives
  1. Understand how to comply with PTE 2020-02 under the DOL’s Rollover Rule including required analysis
  2. Understand how to comply with the SEC Marketing Rule focusing on testimonials and endorsements
  3. Learn best practices for handling state and SEC regulatory examinations
  4. Identify conflicts of interest and how to adequately disclose them
  5. Gain awareness of new and pending regulations and areas of regulatory focus
Speaker
Trina L. Glass, Esq.

Trina L. Glass is a Shareholder and member of Stark & Stark’s Investment Management & Securities Group. Glass’ legal practice is devoted to supporting the regulatory and compliance requirements of financial institutions, specializing in securities filings, regulatory analysis, investigations, books and records requirements, regulatory inquiries and exams, risk mitigation, privacy, industry advocacy, advising on written supervisory and compliance policies, and other procedural matters related to broker-dealers, investment advisors, and investment companies.

Prior to joining Stark & Stark, Glass gained extensive experience as Regulatory Compliance Counsel to a leading global clearing firm, asset management firms, and two AMLaw 200 law firms. She was responsible for tracking and managing the firms’ awareness, interpretation, advocacy, response, and implementation of changing regulation. Glass also managed a global regulatory compliance team that led efforts in designing and implementing regulatory intelligence platforms, ensuring a sufficient enterprise-wide supervisory structure and oversight program while assessing GDPR readiness and other legal and regulatory enterprise risks. Glass is currently a member of Stark & Stark's Diversity, Equity & Inclusion Committee. Glass is also the Privacy Law Chair for the New Jersey State Bar Association.


Jeff A. Lang, Esq.

Jeff A. Lang is a member of Stark & Stark’s Investment Management & Securities Group  in the Lawrenceville, New Jersey office. Lang has more than 25 years of regulatory and compliance experience, including SEC, FINRA, and global corporate compliance expertise. Lang has served as a Chief Compliance Officer with both large institutional and start-up registered investment advisers. He concentrates his practice on all facets of Investment Adviser and Broker-Dealer compliance, managed accounts, oversight of business practices and supervision, and risk assessments. He also has extensive experience in managing SEC, FINRA, and state regulatory examinations.

He has obtained both Certified Financial Planner (CFP®) and Investment Adviser Certified Compliance Professional designations. Lang has also completed the Certified Regulatory and Compliance Professional program offered by the FINRA Institute at Wharton. Lang has held the Series 7, 9, 10, 24, 63 and 65 FINRA securities licenses.

Summary
Availability: No future session
Expires on 12/31/2023
Cost: Member: $0.00
Non-Member: $39.00
Credit Offered:
1 NAPFA CE Credit
1 CFP® CE Credit
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