NEW YORK -- The Knowledge Group/The Knowledge Congress Live Webcast Series, the leading producer of regulatory focused webcasts, has announced today that Kosha Dalal, Associate Vice President and Associate General Counsel, Financial Industry Regulatory Authority, Inc. will speak at the Knowledge Group’s webcast entitled: “FINRA Supervision Rules: What You Need To Know in 2015 LIVE Webcast.” This event is scheduled for Friday, October 24, 2014 @ 10:00 am to 12:00 pm (ET).
For further details, please visit:
http://theknowledgegroup.org/event_name/finra-supervision-rules-what-you-need-to-know-in-2015-live-webcast/ (http://theknowledgegroup.org/event_name/finra-supervision-rules-what-you-need-to-know-in-2015-live-webcast/)
Event Synopsis:
In this two-hour LIVE webcast, a panel of distinguished professionals and thought leaders will help broker/dealers and financial advisors implement the new FINRA rules. They will discuss important new provisions of the new FINRA consolidated supervision rules and discuss best practices.
Key topics include:
· Supervision of Multiple OSJs (New FINRA Rules 3110)
· New FINRA Rules 3120 (Supervisory Control System)
· Holding Customer Mail (New FINRA Rules 3150 )
· New FINRA Rules 3170 (Tape Recording of Registered Persons by Certain Firms)
· And a lot more!
About Kosha Dalal
Kosha Dalal is Associate Vice President and Associate General Counsel with FINRA’s Office of General Counsel. In this role, she provides legal guidance on various policy initiatives and rule changes/interpretations including, supervision, non-cash compensation, branch office, customer account statements, payments to unregistered persons and corporate actions. She has been with FINRA’s Office of General Counsel since 2000. Ms. Dalal also serves on FINRA’s Diversity Leadership Council. Prior to coming to FINRA, she was an associate with the law firm of Venable in Baltimore, MD, Kalkines Zall in New York, NY and Skaden Arps in New York, NY. Ms. Dalal attended Columbia University in New York, NY where she received a bachelor’s degree in political science and economics. She received her law degree from Brooklyn Law School.
About The Knowledge Group, LLC/The Knowledge Congress Live Webcast Series
The Knowledge Group, LLC was established with the mission to produce unbiased, objective, and educational live webinars that examine industry trends and regulatory changes from a variety of different perspectives. The goal is to deliver a unique multilevel analysis of an important issue affecting business in a highly focused format. To contact or register to an event, please visit: http://theknowledgegroup.org/
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