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2019 NASAA/State of Florida Broker Dealer Examiner Training Program
June 26, 2019
Oyster Consulting Associate Director Bill Reilly will participate as an instructor at the 2019 NASAA/State of Florida Broker Dealer Examiner Training Program from June 26-28, 2019 in Jacksonville, Florida. This program for NASAA member state and Canadian provincial staff is among the premier annual training programs sponsored by NASAA. Prior to joining Oyster in 2012, and during his employment with the state of Florida, Bill was generally responsible for the speaker selection and content of this program for in excess of 25 years.
Bill leverages his examination expertise and relationships with state and federal regulators and self-regulatory organizations to guide broker-dealers and investment advisers through both proactive and reactive regulatory processes and compliance issues. Among others, Bill conducts FINRA Rule 3120 Supervisory Control Reviews, Annual Compliance Reviews for federally and state-covered investment advisers, creates and/or updates policies and procedures for opening and monitoring senior and vulnerable adult client accounts, registers firms and individuals with the SEC, self-regulatory organizations and the states, has been retained as an expert witness by law firms representing industry participants in arbitrations and regulatory matters, updates policies and procedures for both broker dealers and investment advisers, and acts as an independent third party consultant in reviewing firm activity prior to and as a result of regulatory actions and settlements.
If you are in Jacksonville please look for and engage in a conversation with Bill to find out more about his experience and how Oyster Consulting can help your firm.