Gail Marshall-Smith, Of Counsel, Bingham McCutchen to Speak at KC’s “NASD Rule 2821 Amendment No. 4” Event on August 2007
New York, NY, July 28, 2007 --(PR.com)-- The Knowledge Congress, the leading producer of regulatory focused teleconferences has announced today that Gail Marshall-Smith, Of Counsel of Bingham McCutchen, will speak at the Knowledge Congress’ upcoming teleconference entitled: “NASD Rule 2821 Amendment No.4: Best Practices Explored.” This event is scheduled on August 2, 2007at 1:00 PM EST. (For further details and an updated panelist list for this event, please visit: www.knowledgecongress.org)
In March 2007, the NASD filed Amendment No. 4 to the proposed NASD Rule 2821 which prescribes sweeping changes in sales practices and supervisory requirements for dealings in deferred variable annuities. The new rule poses a number of changes specifically designed to ensure compliance that includes specific governing recommendations and training requirements.
The Knowledge Congress has assembled a panel of distinguished experts who will share their insights on the legal implications of these policies to the organizations most impacted by them. The panel will present their findings in this two-hour live teleconference.
About Gail Marshall-Smith
Gail Marshall-Smith represents clients in all segments of the securities industry including full-service, discount, bank, independent contractor and insurance broker-dealers, as well as dual registrants and transfer agents. Her practice focuses on advising on compliance controls, registration issues and enforcement defense. Gail also has significant experience in the design and implementation of supervisory and compliance programs and responding to regulatory inquiries.
She joined the firm from the Securities and Exchange Commission, where she was counsel to Commissioner Isaac C. Hunt, Jr. and special counsel in the Divisions of Market Regulation and Enforcement. Gail has substantial experience in market structure issues and received an award from former SEC Chairman Arthur Levitt for her work on rules relating to order handling, electronic communication networks (ECNs) and best execution.
Gail is former hearings counsel at the Nasdaq Stock Market, where she was responsible for conducting the appeal process for issuers who failed to comply with the listing standards; represented broker-dealers in connection with investigations by the SEC, NASD, NYSE and federal and state regulators; performed mock audits to evaluate broker-dealers’ compliance with SEC and SRO rules; and assisted investment advisers and broker-dealers in drafting policies and procedures.
She attended Westfield State College, Bachelor of Science, 1985; New England School of Law, Juris Doctor, 1992; and Georgetown University Law Center, Master of Laws in 1994.
Gail Marshall-Smith is a member of the American Bar Association and is admitted to practice in Massachusetts.
For more information about Gail Marshall-Smith and Bingham McCutchen please visit: http://www.bingham.com/
About The Knowledge Congress
The Knowledge Congress is an organization that produces teleconferences that examine regulatory changes across a variety of industries. “We bring together the world's leading authorities and industry participants through informative two-hour teleconferences to study the impact of changing regulations.” To contact or to register to an event, please visit: www.knowledgecongress.org
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In March 2007, the NASD filed Amendment No. 4 to the proposed NASD Rule 2821 which prescribes sweeping changes in sales practices and supervisory requirements for dealings in deferred variable annuities. The new rule poses a number of changes specifically designed to ensure compliance that includes specific governing recommendations and training requirements.
The Knowledge Congress has assembled a panel of distinguished experts who will share their insights on the legal implications of these policies to the organizations most impacted by them. The panel will present their findings in this two-hour live teleconference.
About Gail Marshall-Smith
Gail Marshall-Smith represents clients in all segments of the securities industry including full-service, discount, bank, independent contractor and insurance broker-dealers, as well as dual registrants and transfer agents. Her practice focuses on advising on compliance controls, registration issues and enforcement defense. Gail also has significant experience in the design and implementation of supervisory and compliance programs and responding to regulatory inquiries.
She joined the firm from the Securities and Exchange Commission, where she was counsel to Commissioner Isaac C. Hunt, Jr. and special counsel in the Divisions of Market Regulation and Enforcement. Gail has substantial experience in market structure issues and received an award from former SEC Chairman Arthur Levitt for her work on rules relating to order handling, electronic communication networks (ECNs) and best execution.
Gail is former hearings counsel at the Nasdaq Stock Market, where she was responsible for conducting the appeal process for issuers who failed to comply with the listing standards; represented broker-dealers in connection with investigations by the SEC, NASD, NYSE and federal and state regulators; performed mock audits to evaluate broker-dealers’ compliance with SEC and SRO rules; and assisted investment advisers and broker-dealers in drafting policies and procedures.
She attended Westfield State College, Bachelor of Science, 1985; New England School of Law, Juris Doctor, 1992; and Georgetown University Law Center, Master of Laws in 1994.
Gail Marshall-Smith is a member of the American Bar Association and is admitted to practice in Massachusetts.
For more information about Gail Marshall-Smith and Bingham McCutchen please visit: http://www.bingham.com/
About The Knowledge Congress
The Knowledge Congress is an organization that produces teleconferences that examine regulatory changes across a variety of industries. “We bring together the world's leading authorities and industry participants through informative two-hour teleconferences 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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