Preparing for the new FINRA rulebook:

For the past two years, FINRA has been working diligently on the NYSE and NASD rulebook harmonization. Have you been working as diligently on updating your firm policies?

Frequent notices to members, brief comment periods, and tight implementation deadlines are just a few of the things faced by firms these days. It’s important that firms apply best practices in policy and procedure management to mitigate compliance risk, stay current with the latest regulatory developments, assess their impact on corporate policies, and inform and educate users.

Do you have all the information you need to successfully implement one of the largest rulebook changes in history? During the complimentary webcast, Preparing for the new FINRA rulebook: Are your policies ready for implementation? MGL Consulting Corporation will join us to discuss the very latest regarding the rulebook consolidation process.

Join us on Wednesday, August 5th to learn about:

• MGL’s view on how the consolidation process is progressing and the latest regulatory developments
• The tools and resources available to firms to help ease the implementation process
• Innovative approaches to keeping your firm’s policies up-to-date and successfully managing with past, present and future versions of the rules

Speakers:

Michael Koch: Vice President of MGL’s Investment Advisor Division.

Melinda LeGaye: President and CEO of MGL Consulting Corporation founded the firm in 1984.

Deirdre Patten: Executive Vice President of Business Development.

Michael Schaps: Executive Vice President and Manager of the Broker/Dealer Division.

Bernerd Young: Executive Vice President over MGL’s Regulatory Consulting practice group.

Wednesday
August 5th, 2009

2pm EDT

45 minutes

Speakers

Michael Koch

Melinda LeGaye

Deirdre Patten

Michael Schaps

Bernerd Young