Rule 3110: Opening Gates for Optimal Corporate Performance
   LIVE Webinar  

 

Event Details:                                                                                                                                                           printer-friendly page

The NASD Rule 3110, provides specific requirements for how NASD members capture and store customer information. The rule applies to all records, mail, e-mail and instant messaging and most data collected from their customers. The rule also specifies how the records are processed, stored and in what format. Failure to comply with Rule 3110 could lead to substantial penalties.

The Knowledge Congress is assembling a panel of distinguished professionals and key regulators to help understand the impact of Rule 3110 and the indexed annuities market. The speakers will present their expert opinions in a two-hour LIVE Webinar.

Course Level: Intermediate
Prerequisite: None
Method Of Presentation: Group-Based-Internet
Developer: The Knowledge Conference
Recommended CLE/CPE Hours: 2.0
(Please note, your State Bar or Accounting Board will make the final determination with respect to continuing education credit.)
Advance Preparation: Print and review course materials
Course Code: 083804
Course Fee: $199 - $299 (Please click here for details)

 

Featured Speakers for NASD 3110 live webinar:                                                                                         


  Event Talking Points (click here for more)
SEGMENT 1:


Nicholas Mannarino, Managing Director,
Market Resolve, LLC

** Speaker Talking Points to be added soon.. **

SEGMENT 2:


Brian L. Rubin, Partner,
Sutherland

** Speaker Talking Points to be added soon.. **

SEGMENT 3:


Robert Boresta, Partner,
Winston & Strawn LLP

** Speaker Talking Points to be added soon.. **

SEGMENT 4:


Amy Lynch, CRCP, President,
FrontLine Compliance, LLC

Electronic recordkeeping- the do’s and don’ts
Customer Complaints- when does correspondence become a complaint?
Client files- what should files contain and what must be retained
New Account Forms- best practices


Market Resolve, LLC
Nicholas Mannarino
Managing Director
speaker bio »»

Sutherland
Brian L. Rubin
Partner
speaker bio »»

Winston & Strawn LLP
Robert Boresta
Partner
speaker bio »»

FrontLine Compliance, LLC
Amy Lynch, CRCP
President
speaker bio »»

Who Should Attend?

- Broker-dealers
- Securities firms & Stock brokerage firms
- Banks & Financial institutions
- Registered representatives
- Individuals that trade securities
- Individuals act as brokers for traders
- Investment Adviser

Why Attend?

This is a must attend event for anyone interested in understanding the related issues and developments on NASD 3110.
- New guidance explained by the most qualified key leaders & experts
- Hear directly from key regulators & thought leaders
- Interact directly with panel during Q&A

Registration Information:                                                                                                                                    


** Discounts Apply for early registration

Disclaimer:
Please note, the event date is firm although it may be subject to change. Please click here for details.


Rule 3110
Speaker Firms:





Event Sponsor:


Market Resolve provides customized end-to-end solutions tailored for the full range of diverse challenges such as compliance, process, workflow and documentation that are faced by financial services organizations.

Our management consulting services provides operational reviews and assessments, and implementation solutions. Our proprietary software, Workforce Director® , pro-vides organizations from start-up to an S&P500 with the ability to develop, manage and execute against organizational processes and procedures. A full process life cycle application Workforce Director® provides a complete fusion of content and process flow management that provides an accurate view of business-critical processes and procedures right at your desktop, rendering status changes as individuals interact with the system. Individuals of responsibility and management remain updated and informed. Our Workforce Director® clients operate their business across the globe, in real time, with activity streamed data reducing cost and increasing their efficiencies, all while ensuring a repeatable, flawless process execution. Our collective industry experience sets us apart from other firms, affording you and us access to the most qualified resources in the industry.

www.marketresolve.com