Choose a state below and click "Add To Cart"
Price: $29
Course Preview
  • Description
    This CLE course will provide a detailed explanation of a variety of issues from FINRA’s senior initiative and the JOBS Act (Jumpstart our Business Startups Act) to the Securities Helpline for Seniors and various developments in fixed income regulation, auto-advice, and private placements. The course will review the potential impact and status of the Department of Labor’s Fiduciary Rule and Prohibited Taxes Exemption as well as recent development regarding FINRA’s Innovation Outreach Initiative and FinTech. An explanation of FINRA’s retrospective review of its rules governing outside business activities and private securities transactions will also be included.
  • Instructor Bio

    Joseph Savage

    Joseph P. Savage is a Vice President and Counsel in FINRA’s Regulatory Policy Department. Mr. Savage specializes in a broad range of securities regulatory matters, including investment management, investment company, advertising and broker-dealer issues, and regularly appears at conferences regarding these issues. Prior to joining FINRA, he was an Associate Counsel with the Investment Company Institute and an attorney with the law firms of Morrison & Foerster LLP and Hunton & Williams. Mr. Savage also served as a judicial law clerk for United States District Judge John P. Vukasin of the Northern District of California. Mr. Savage holds a bachelor’s degree from the University of Virginia, a master’s degree in public policy from the University of California, Berkeley, and a J.D. from the University of California, Hastings College of the Law, where he served as Note Editor of the Hastings Law Journal.

    Meredith Cordisco

    Meredith Cordisco is Associate General Counsel with FINRA’s Office of General Counsel. In this capacity, she provides legal guidance on policy initiatives, rule changes and interpretations in various areas, including regarding new issues and spinning, private securities transactions and outside business activities. Before joining FINRA, Ms. Cordisco was counsel in the Securities Litigation and Enforcement group at WilmerHale, where she focused her practice on complex securities enforcement investigations. Ms. Cordisco received her B.S., summa cum laude, in International Business and French from Mount St. Mary’s University in Emmitsburg, Maryland, and her J.D., summa cum laude, and M.B.A., cum laude, from Villanova University. Following her studies, Ms. Cordisco clerked for the Honorable Eduardo C. Robreno on the U.S. District Court for the Eastern District of Pennsylvania.

    Angela Goelzer

    Angela Carcone Goelzer is Vice President of FINRA’s Office of Regulatory Analysis department and has been with the organization since 2003. Prior to joining FINRA, she was Vice President, Investment Company Directors, at the Investment Company Institute, a trade group for the U.S. mutual fund industry. From 1983 to 1991, she served in various capacities at the Securities and Exchange Commission, including Deputy Chief Counsel and Senior Counsel to the Director in the Division of Investment Management. Ms. Goelzer received a BA in political science summa cum laude from Providence College and a JD from Harvard Law School.

    Haimera Workie

    Haimera Workie is Senior Director responsible for heading up FINRA’s Office of Emerging Regulatory Issues, which focuses on analyzing new and emerging risks and trends related to the securities market. Previously, Mr. Workie served as Deputy Associate Director in the Division of Trading and Markets at the U.S. Securities and Exchange Commission. In this capacity, Mr. Workie was tasked with developing a variety of Dodd-Frank Act related rulemakings, supervising policy matters related to market intermediaries and financial market utilities, and representing the Commission before several international standard setting bodies. Mr. Workie also previously served as Counsel to Commission Chair Mary Schapiro. Prior to joining the Commission, he was an associate at the law firm of Skadden, Arps, Slate, Meagher & Flom, with a practice focusing on corporate law. He is a graduate of the Massachusetts Institute of Technology (B.S., M.S.) and Harvard Law School (J.D.).
  • Available In