Ask FINRA Advertising Regulation Senior Staff Webinar

Hear how to navigate current developments in FINRA’s communications rules and industry marketing practices including mobile apps, social media, and other digital channels. Panelists answer questions on how to embrace the future of communications while remaining compliant.

Ask FINRA Advertising Regulation Senior Staff Webinar Panelist Bios:

Moderator:

Anthony T. Maher is Associate Director in FINRA’s Advertising Regulation Department. He served in a similar role at NASD before its 2007 consolidation with NYSE Member Regulation, which resulted in the formation of FINRA. His chief responsibility is managing staff members dedicated to the routine review of member advertisements. Mr. Maher also speaks at FINRA and industry conferences and events, including the Department’s Advertising Regulation Conference, where he conducts a highly interactive educational “hands-on” advertising review workshop. Prior to joining the NASD in 1995, he was a registered principal and a compliance analyst for a broker-dealer subsidiary of a life insurance company. Mr. Maher holds a J.D. from George Mason University Antonin Scalia Law School, a master’s degree from Georgetown University and a bachelor’s degree from George Mason University.

Speakers:

Pramit Das is Associate Director-Technology of FINRA’s Advertising Regulation Department. In this role, his responsibilities include managing a filings review group; assisting with administration of the filings review program; developing and maintaining the department’s technology needs; providing education to members, FINRA staff and other regulatory staff; and participating in certain rule amendment and rulemaking projects as necessary. He served in the same role at NASD before its 2007 consolidation with NYSE Member Regulation. Prior to joining NASD in 1994, Mr. Das worked for Metropolitan Life Insurance Company and Arthur Andersen & Co. He holds an MBA in Finance from the University of Maryland, College Park, and an MA in Financial Economics from Clemson University, Clemson, South Carolina. He was also Series 7 and 63 registered.

Ira Gluck is Director in FINRA’s Advertising Regulation Department. In this role, he works on rulemaking and policy issues and is responsible for the Department’s complex review and spot-check programs. Mr. Gluck’s previous positions within FINRA included leading the Emerging Regulatory Issues team as well as heading the Strategic Initiatives Group in FINRA’s Enforcement Department. He also served in various investigative and management roles in the Enforcement and Member Regulation Departments of NASD before its 2007 consolidation with NYSE Member Regulation, which resulted in the formation of FINRA. Mr. Gluck received his bachelor’s degree from the University of Pennsylvania and completed both a master’s degree and M.B.A. at the University of California, Irvine.

Amy C. Sochard is Vice President of FINRA’s Advertising Regulation Department. The department helps protect investors by ensuring members of FINRA use advertisements, social media posts, and other communications that are fair, balanced, and not misleading. Ms. Sochard oversees the department’s regulatory review programs and business operations, including the development of technology to facilitate the review of communications. Ms. Sochard provides expertise and policy guidance to other FINRA departments concerning FINRA, SEC, MSRB and SIPC rules pertaining to communications with the public. She also oversees the development of new rules, published guidance, and interpretations regarding communications, and she routinely speaks at industry events on these topics. Prior to joining FINRA, Ms. Sochard worked with a real estate syndication firm in Washington, DC. She received a bachelor’s degree with distinction in English from the University of Virginia and studied poetry writing at Columbia University.

Resources:

• Virtual Conference Panel: Back to Basics: Fundamentals of FINRA Rule 2210 (October 2021)
• Frequently Asked Questions About Advertising Regulation (Updated October 2021)
• Frequently Asked Questions Related to Filing Requirements of Rules 5122 and 5123 (Updated October 2021)
• FINRA Regulatory Notice 21-26: FINRA Amends Rules 5122 and 5123 Filing Requirements to Include Retail Communications That Promote or Recommend Private Placements (October 2021)
• FINRA Regulatory Notice 20-21: FINRA Provides Guidance on Retail Communications Concerning Private Placement Offerings (August 2020)
• FINRA Regulatory Notice 19-31: Disclosure Innovations in Advertising and Other Communications with the Public (September 2019)
• FINRA Regulatory Notice 17-18: Guidance on Social Networking Websites and Business Communications (April 2017)
• FINRA Regulatory Notice 11-39 Social Media Website and the use of Personal Devices for business Communications (August 2011)
• FINRA Regulatory Notice 10-06 Guidance on Blogs and Social Networking Sites (January 2010)

Additional Information

Please direct questions about registration to (800) 321-6273 or via email.

This event is open to the media.