Brian Rubin, Partner, Sutherland to Speak at KC’s Event on “Rule 3110: Opening Gates for Optimal Corporate Performance Live Webinar” on 01/27/09
New York, NY, October 30, 2008 --(PR.com)-- The Knowledge Congress, the leading producer of regulatory focused webinars announced today that Brian Rubin, a partner at Sutherland will speak at the Knowledge Congress’ upcoming webinar entitled “Rule 3110: Opening Gates for Optimal Corporate Performance”. This 2-hour event is scheduled for January 27, 2009, Tuesday, at 12:00 PM - 2:00 PM ET. (For further details of the event and an updated list of panelists, please visit: (http://www.knowledgecongress.org/event_2008_3110.html)
The NASD Rule 3110, provides specific requirements for how NASD members capture and store customer information. The rule applies to all records, mail, e-mail and instant messaging and most data collected from their customers. The rule also specifies how the records are processed, stored and in what format. Failure to comply with Rule 3110 could lead to substantial penalties.
The Knowledge Congress is assembling a panel of distinguished professionals and key regulators to help understand the impact of Rule 3110 and the indexed annuities market. The speakers will present their expert opinions in a two-hour Live Webinar.
About Brian Rubin
Brian L. Rubin is a partner in Sutherland’s Washington, DC office. He represents companies and individuals being examined, investigated and prosecuted by the Securities and Exchange Commission, the Financial Industry Regulatory Authority (FINRA) and states. He also advises broker-dealers and investment advisers on federal and state regulatory and compliance matters. Recently, Brian tried a precedent-setting case against the SEC regarding Regulation S-P. He also successfully defended a firm and its president in a trial and an appeal brought by the SEC involving Class B share mutual funds.
In 2007, Brian was recognized in The Best Lawyers in America. He also won the 2006 Burton Award for Legal Achievement for co-authoring "The House That the Regulators Built: An Analysis of Whether Respondents Should Litigate Against NASD," published in the May 2005 issue of BNA's Securities Regulation & Litigation Report. Brian is also a member of the Board of Advisors of the Securities and Exchange Commission Historical Society.
Prior to joining Sutherland, Brian was the Deputy Chief Counsel with the NASD's Enforcement Department, where he managed attorneys and examiners in the Washington, DC, home office and in the district offices. In September 2002, he received the prestigious Excellence in Service Award for outstanding commitment and superior performance in support of NASD. He also received the NASD President’s Award for outstanding performance and dedicated service. Previously, Brian was Senior Counsel in the SEC’s Division of Enforcement, where he investigated and prosecuted violations of federal securities laws.
Brian regularly speaks at securities conferences. He also often writes articles on enforcement, regulatory and compliance issues. Brian is a member of the Editorial Board of the Journal of Securities Law, Regulation & Compliance. In addition, he is a member of the Editorial Advisory Board of Practical Compliance and Risk Management for the Securities Industry.
Brian has a J.D. and an M.A. in Economics from Duke University. His undergraduate degree is from the Wharton School, University of Pennsylvania.
About Sutherland
Sutherland is a law firm with global reach known for solving challenging business problems and resolving unique legal issues for many of the world's largest companies. Founded in 1924, the firm has grown to more than 500 lawyers handling matters in every part of the world. Seven major practice areas - corporate, financial services, energy, intellectual property, litigation, real estate and tax - provide the framework for an extensive range of specialty areas, allowing their attorneys to serve a diverse client base including a substantial number of the Fortune 500.
Their legal practice is built on delivering partner-level attention and unfaltering dedication to client service. Their clients can rely on their lawyers to be approachable, responsive and efficient. This approach attracts clients faced with issues and opportunities that demand a deep understanding of business, specific industry knowledge and the ability to manage complex matters across state and national borders.
Sutherland serves clients around the globe, and understands the importance of technology as an integral part of the services they provide. In addition to the standard modes of communication (telephone, e-mail and facsimile), they installed state-of-the-art voice and video conferencing in all of their offices to further enhance their communication abilities. For efficient internal communication, they utilize a firm-wide intranet and a document management system. They also have the technology to establish an Extranet or FTP connection between their offices and the offices of their clients to allow document exchange and rapid communication.
For more information about Brian Rubin and Sutherland, please visit: http://www.sutherland.com/
About The Knowledge Congress
The Knowledge Congress is an organization that produces webinars that examine regulatory changes across a variety of industries. “We bring together the world's leading authorities and industry participants through informative two-hour webinars to study the impact of changing regulations.” To contact or to register to an event, please visit: www.knowledgecongress.org.
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The NASD Rule 3110, provides specific requirements for how NASD members capture and store customer information. The rule applies to all records, mail, e-mail and instant messaging and most data collected from their customers. The rule also specifies how the records are processed, stored and in what format. Failure to comply with Rule 3110 could lead to substantial penalties.
The Knowledge Congress is assembling a panel of distinguished professionals and key regulators to help understand the impact of Rule 3110 and the indexed annuities market. The speakers will present their expert opinions in a two-hour Live Webinar.
About Brian Rubin
Brian L. Rubin is a partner in Sutherland’s Washington, DC office. He represents companies and individuals being examined, investigated and prosecuted by the Securities and Exchange Commission, the Financial Industry Regulatory Authority (FINRA) and states. He also advises broker-dealers and investment advisers on federal and state regulatory and compliance matters. Recently, Brian tried a precedent-setting case against the SEC regarding Regulation S-P. He also successfully defended a firm and its president in a trial and an appeal brought by the SEC involving Class B share mutual funds.
In 2007, Brian was recognized in The Best Lawyers in America. He also won the 2006 Burton Award for Legal Achievement for co-authoring "The House That the Regulators Built: An Analysis of Whether Respondents Should Litigate Against NASD," published in the May 2005 issue of BNA's Securities Regulation & Litigation Report. Brian is also a member of the Board of Advisors of the Securities and Exchange Commission Historical Society.
Prior to joining Sutherland, Brian was the Deputy Chief Counsel with the NASD's Enforcement Department, where he managed attorneys and examiners in the Washington, DC, home office and in the district offices. In September 2002, he received the prestigious Excellence in Service Award for outstanding commitment and superior performance in support of NASD. He also received the NASD President’s Award for outstanding performance and dedicated service. Previously, Brian was Senior Counsel in the SEC’s Division of Enforcement, where he investigated and prosecuted violations of federal securities laws.
Brian regularly speaks at securities conferences. He also often writes articles on enforcement, regulatory and compliance issues. Brian is a member of the Editorial Board of the Journal of Securities Law, Regulation & Compliance. In addition, he is a member of the Editorial Advisory Board of Practical Compliance and Risk Management for the Securities Industry.
Brian has a J.D. and an M.A. in Economics from Duke University. His undergraduate degree is from the Wharton School, University of Pennsylvania.
About Sutherland
Sutherland is a law firm with global reach known for solving challenging business problems and resolving unique legal issues for many of the world's largest companies. Founded in 1924, the firm has grown to more than 500 lawyers handling matters in every part of the world. Seven major practice areas - corporate, financial services, energy, intellectual property, litigation, real estate and tax - provide the framework for an extensive range of specialty areas, allowing their attorneys to serve a diverse client base including a substantial number of the Fortune 500.
Their legal practice is built on delivering partner-level attention and unfaltering dedication to client service. Their clients can rely on their lawyers to be approachable, responsive and efficient. This approach attracts clients faced with issues and opportunities that demand a deep understanding of business, specific industry knowledge and the ability to manage complex matters across state and national borders.
Sutherland serves clients around the globe, and understands the importance of technology as an integral part of the services they provide. In addition to the standard modes of communication (telephone, e-mail and facsimile), they installed state-of-the-art voice and video conferencing in all of their offices to further enhance their communication abilities. For efficient internal communication, they utilize a firm-wide intranet and a document management system. They also have the technology to establish an Extranet or FTP connection between their offices and the offices of their clients to allow document exchange and rapid communication.
For more information about Brian Rubin and Sutherland, please visit: http://www.sutherland.com/
About The Knowledge Congress
The Knowledge Congress is an organization that produces webinars that examine regulatory changes across a variety of industries. “We bring together the world's leading authorities and industry participants through informative two-hour webinars to study the impact of changing regulations.” To contact or to register to an event, please visit: www.knowledgecongress.org.
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The Knowledge Congress
Thomas LaPointe, Jr., Executive Director
1.800.578.4370
www.knowledgecongress.org
Therese Lumbao, Director
Account Management & Member Services
tlumbao@knowledgecongress.org
Thomas LaPointe, Jr., Executive Director
1.800.578.4370
www.knowledgecongress.org
Therese Lumbao, Director
Account Management & Member Services
tlumbao@knowledgecongress.org
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