Choose a state below and click "Add To Cart"
Price: $29
Course Preview
  • Description

    How a rule becomes a regulation and other fascinating insights into the FINRA Retrospective Rule Review process will be presented in this comprehensive CLE course. The course will explain upcoming rule changes, regulatory initiatives and how the advisory committees are used in this regard. Providing the necessary information to establish effective rules and practices with regards to the new regulatory rules, the course will also guide you in managing associated risks and identifying opportunities to engage in the current process through an understanding of how it functions as well as the role of the FINRA Board of Governors and Advisory Committees. A status update on ongoing retrospective rules as well as potential future reviews will also be presented.

  • Instructor Bio

    Philip Shaikun

    Philip Shaikun is Vice President and Associate General Counsel in FINRA’s Office of General Counsel, where he is responsible for developing and interpreting FINRA rules and providing legal and policy advice to FINRA management and staff. Mr. Shaikun’s responsibilities involve a variety of regulatory areas, including research analyst conflicts, broker compensation practices, communications with the public, supervision, registration, and sales and trading practices. Mr. Shaikun also leads the Office of General Counsel’s role in the retrospective review of FINRA rules. Mr. Shaikun previously served as an attorney in FINRA’s (then NASD) Enforcement Department. Prior to joining FINRA, Mr. Shaikun was as a trial attorney with the U.S. Department of Justice, where he prosecuted civil fraud cases. Mr. Shaikun graduated with a bachelor’s degree from Duke University, where he also has served as a visiting lecturer in public policy. He received a law degree from the University of Southern California. Mr. Shaikun is also a former reporter for the St. Petersburg Times in Florida.

    Jonathan Sokibin

    Jonathan S. Sokobin, Chief Economist and Senior Vice President, oversees FINRA's Office of the Chief Economist. In this role, he works to develop new rules, analyzes the regulatory impact, including costs and benefits, of existing and potential rulemakings, and analyzes data on securities firms and markets. Previously, Mr. Sokobin was Acting Deputy Director, Research and Analysis in the Office of Financial Research at the U.S. Treasury Department. Prior to joining the Treasury Department, Mr. Sokobin was Acting Director of the SEC's then Division of Risk, Strategy, and Financial Innovation. He joined the SEC staff in 2000 and held various positions, including Deputy Chief Economist and Director of the former Office of Risk Assessment. ¬He received his Ph.D. and MBA in finance from the Graduate School of Business at the University of Chicago, and his bachelor's degree from Ohio State University.

    Mark Cresap

    Mark W. Cresap III is the President and owner of Cresap, Inc., a position he has held since 1990. Cresap, Inc. is a fully disclosed broker-dealer and Pennsylvania-registered investment adviser with 40 registered representatives. Previously, from 1980 to 1989, Mr. Cresap was the President of PML Securities (aka 1717 Capital Management), a broker-dealer subsidiary of Provident Mutual Insurance. He was responsible for more than 1,800 registered representatives. Before that, Mr. Cresap worked as regional sales director for CIGNA Securities and as a registered representative for W. H. Newbolds & Sons. Mr. Cresap is a current member of the FINRA Board of Governors. He previously served as Chair of the FINRA Small Firm Advisory Board, Chair of a FINRA District Committee, FINRA Nominating Committee Chair, and as a member of the FINRA Membership Committee. He received his bachelor's degree from Williams College.

    Melissa MacGregor

    Melissa MacGregor is Managing Director and Associate General Counsel at SIFMA in Washington, D.C. Her responsibilities at SIFMA include advising the advocacy and policy activities of the SIFMA General Counsels Committee and the Technology and Regulation Committee, along with several specialized working groups. Most recently, Ms. MacGregor has dealt with issues relating to electronic communications and records, financial technology, data aggregation, social media, privacy, data protection, and market data. Ms. MacGregor is a member of the board of the directors of the Financial Data Exchange. Prior to joining SIFMA in 2005, Ms. MacGregor practiced securities regulation at Crowell & Moring LLP and Clifford Chance LLP. She holds a J.D. from American University Washington College of Law and a B.A. from St. Lawrence University.