Robert Boresta, Partner, Winston & Strawn LLP 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 Robert Boresta, a partner at Winston & Strawn LLP 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 1:00 PM - 3:00 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 Robert Boresta
Robert Boresta is a corporate partner in the New York office who concentrates his practice in broker-dealer, investment management, and financial services regulation and compliance. Mr. Boresta has extensive experience advising financial service companies on broker-dealer and investment adviser matters arising under federal and state securities laws and self-regulatory organization rules, including supervisory and compliance policies and procedures, business expansions, regulatory inquiries, examinations and investigations, internal compliance reviews, financial and operational matters, disclosure issues, and new product development. He also regularly advises managers of private funds on compliance with laws and rules applicable to investment advisers. His experience includes advising clients with the structuring, formation, and licensing of securities firms with the SEC, SROs and state securities authorities, and with mergers and acquisitions involving broker-dealers and investment advisers. He also has assisted clients with the preparation and negotiation of agreements and forms related to their business.
Mr. Boresta is a member of the American Bar Association, Federal Regulation of Securities: Private Placement Broker-Dealer Task Force. He also is a member of the ABA’s subcommittees on Marketing Regulation, Investment Companies and Investment Advisers and the FINRA Corporate Financing Rules subcommittee. He is also a member of the ABA’s Committee on State Regulation of Securities. Mr. Boresta serves a member of the Greater Bergen Area board of directors of CancerCare.
Mr. Boresta received a B.A. from Rutgers College in 1979. He received a J.D. from Fordham Law School in 1984.
For more information about Robert Boresta and Winston & Strawn LLP, please visit: http://www.winston.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 Robert Boresta
Robert Boresta is a corporate partner in the New York office who concentrates his practice in broker-dealer, investment management, and financial services regulation and compliance. Mr. Boresta has extensive experience advising financial service companies on broker-dealer and investment adviser matters arising under federal and state securities laws and self-regulatory organization rules, including supervisory and compliance policies and procedures, business expansions, regulatory inquiries, examinations and investigations, internal compliance reviews, financial and operational matters, disclosure issues, and new product development. He also regularly advises managers of private funds on compliance with laws and rules applicable to investment advisers. His experience includes advising clients with the structuring, formation, and licensing of securities firms with the SEC, SROs and state securities authorities, and with mergers and acquisitions involving broker-dealers and investment advisers. He also has assisted clients with the preparation and negotiation of agreements and forms related to their business.
Mr. Boresta is a member of the American Bar Association, Federal Regulation of Securities: Private Placement Broker-Dealer Task Force. He also is a member of the ABA’s subcommittees on Marketing Regulation, Investment Companies and Investment Advisers and the FINRA Corporate Financing Rules subcommittee. He is also a member of the ABA’s Committee on State Regulation of Securities. Mr. Boresta serves a member of the Greater Bergen Area board of directors of CancerCare.
Mr. Boresta received a B.A. from Rutgers College in 1979. He received a J.D. from Fordham Law School in 1984.
For more information about Robert Boresta and Winston & Strawn LLP, please visit: http://www.winston.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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