Comments to File No. SR-NASD-2004-183 – Co-authored Wachovia Securities’ comments to NASD’s proposed rule amendment concerning sales practice standards and supervisory requirements for transactions in deferred variable annuities
Comments to File No. S7-06-04 – Co-authored Wachovia Securities’ comments to the SEC’s proposal concerning point of sale disclosure requirements and confirmation requirements for transactions in mutual funds, college savings plans and certain other securities
University of Maryland – Presentation to College of Behavioral & Social Science’s (BSOS) MLAW students (Nov. 2018)
NASAA Corporation Finance Training – Presented at the “FINRA Update” and “Advertising for Financial Products” panels at the North American Securities Administrators Association’s Corporation Finance Training (Nov. 2016)
ADISA Annual Conference – Spoke at the “Legislative and Regulatory Update” Panel at the Alternative & Direct Investment Securities Association’s 2015 Annual Conference (Oct. 2015)
FINRA Advertising Regulation Conference – Spoke on the “Alternative Investments: A Changing Landscape” panel at FINRA’s 2014 Advertising Regulation Conference (Oct. 2014)
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