Communication Supervision Trends and Effective Practices

SKU: SEC084

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About This Course

In today’s rapidly changing regulatory environment, effective supervision of communications is more crucial than ever. This session will explore the latest trends and regulatory developments in communications supervision, with a particular focus on emerging platforms like social media, mobile apps, and other off-channel communication methods. Drawing on recent examination results, our expert panel will discuss the evolving supervisory landscape and offer actionable strategies for legal professionals to help their firms maintain robust compliance programs.

Key Areas of Focus:

Off-Channel Communications: Discover the findings from recent targeted exams and explore the most effective practices for monitoring and supervising off-channel communications.
Emerging Digital Trends: A deep dive into the growing influence of "Finfluencers," as well as the rise of new products and mobile applications impacting communications oversight.
Strengthening Supervision Programs: Practical guidance on how firms can enhance their communication supervision practices to mitigate risks and comply with the latest regulatory standards.

This CLE course will provide legal professionals with a comprehensive understanding of how to address the complex and ever-changing challenges in communications supervision, ensuring that firms remain compliant in the face of new and emerging trends.

Lecturer Bios

Stephanie Gregory, Esq.

Stephanie Gregory is Principal Analyst in FINRA's Advertising Regulation Department. Prior to joining FINRA in 2004, Ms. Gregory worked in compliance and advertising review with a member firm. Ms. Gregory received a bachelor’s degree in economics and political science from Boston University, and her law degree from Pennsylvania State University Dickinson School of Law.

Nicole Murphy

Nicole Murphy is Chief Compliance Officer for Cash App Invest LLC and has served in this capacity since October 2021. In this role, she is responsible for overseeing regulatory compliance and supervision for the continuously evolving and innovative broker-dealer within a broader fintech organization.

Ms. Murphy is also Cash App Invest’s AML Officer and serves on several internal committees. Since joining the industry in 2007, Ms. Murphy has contributed to the Retail and Operations business units at TD Ameritrade and TD Ameritrade Clearing and the Regulatory Relations organization at E*TRADE and Morgan Stanley. Ms. Murphy received her Bachelor of Arts degree from Creighton University where she majored in Philosophy with a comajor in Political Science. She also currently holds her Series 7, 63, and 24 licenses.

Michael Gerena, Esq.

Michael Gerena is Senior Director of FINRA’s National Cause Program and is located in Long Island, New York. In this capacity, Mr. Gerena is currently responsible for leading the Cause Examination Program for all of the retail firm groupings.

Within this role, he is responsible for overall operations of the department, including the development and implementation of strategic and tactical measures necessary to ensure timely, high-quality completion of the departments regulatory program.

Mr. Gerena is also actively involved in several initiatives related to FINRA’s National Cause Program and other FINRA-wide initiatives. Mr. Gerena’s tenure at FINRA began in 2004 and prior to serving in his current position, he has served in a variety of staff and management roles, most recently serving as the Associate District Director managing the sales practice cause staff in the New York and Long Island offices.

Prior to joining FINRA, Mr. Gerena worked as a Variable Annuity Suitability Analyst at a broker-dealer. Mr. Gerena graduated from the State University of New Yok at Oswego and completed the FINRA Certified Regulatory and Compliance Professional™ (CRCP™) program at Wharton.

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Communication Supervision Trends and Effective Practices

Choose Your State

About This Course

Key Areas of Focus:

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