The Financial Industry Regulatory Authority (FINRA) has recently issued its 2021 Examination and Risk Monitoring Program report, where it addressed several significant topics in four distinct areas: firm operations, communications and sales, market integrity, and financial management. The report also covers some newer focus areas, such as the Consolidated Audit Trail (CAT), Regulation BI (Reg BI), and digital asset activities.

Amidst the pandemic, FINRA continues to ensure that member firms comply with the relevant rules and perform their obligations. Thus, it would be prudent for firms to review their procedures and practices in areas of focus as identified in the report.

This CLE/CPE course will guide supervision and compliance professionals on how to use FINRA’s 2021 report in strengthening their organization’s compliance program. Join the speakers as they discuss common pitfalls and offer helpful compliance tips and strategies to deal with today’s evolving regulatory climate.

Key topics include:

  • FINRA’s Risk Monitoring and Examination Priorities for 2021 – Key Takeaways
  • Addressing Common Compliance Pitfalls
  • Other Trends and Developments
  • Risk Management – Effective Strategies
  • Best Compliance Practices


Course Level:



Advance Preparation:

Print and review course materials


Method of Presentation:

Live Webcast



General knowledge of financial regulations


Course Code:



NY Category of CLE Credit:

Areas of Professional Practice


Total Credits:

1.0 CLE

1.0 CPE (Not eligible for QAS (On-demand) CPE credits)

How to Claim CLE Credits Per State:

CLE State Requirements:

Speaker Panel:

Debra Jenks, Esq., Partner
Jenks & Harvey LLP

A native Floridian, Debra has over 30 years of legal experience representing financial institutions, wirehouses, insurance companies and investment professionals, as well as insured broker-dealers, officers and directors, and financial advisers in retail, industry and employment disputes as well as in regulatory matters. Debra has handled claims exceeding hundreds of millions of dollars in court and in arbitrations filed with the NYSE, AAA, NASD and FINRA. She also represents registered persons, institutions and individual investors.

Heather Middleton, Counsel
Riker Danzig Scherer Hyland & Perretti LLP

Heather B. Middleton is Counsel in the Securities Litigation, Arbitration, Regulation and Investigations Practice of Riker Danzig Scherer Hyland & Perretti LLP.  With extensive experience representing broker-dealers and financial advisers in FINRA arbitrations as well as in state and federal court matters, Heather focuses her practice on defending financial services firms and their employees in securities litigation, regulatory investigations, and in enforcement proceedings.  She has successfully defended investor and employment claims relating to a broad range of issues, and has handled regulatory matters involving complex issues including order handling, mini flash crash, research practices, electronic blue sheet reporter, alleged insider trading, and more.  Additionally, Heather serves her clients in an advisory role in assisting with drafting compliance policies and procedures and in helping firms comply with regulatory requirements.  She also performs due diligence on behalf of Authorized Participants and lead market-makers providing seed capital for the launch of new exchange traded funds.  Before practicing law, Heather was an analyst on a High Net Worth Team in the Private Banking and Investment Group of Merrill Lynch, where she dealt with securities laws, branch operations, portfolio management, trading, securities regulations and client expectations.


Debra Jenks, Esq. Partner

Jenks & Harvey LLP


Heather Middleton, Counsel

Riker Danzig Scherer Hyland & Perretti LLP

Date & Time:

Being Rescheduled


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Who Should Attend:

  • Financial Crime Lawyers & Consultants
  • Corporate Governance Lawyers
  • Banking & Finance Lawyers
  • Investment Lawyers
  • Securities Lawyers
  • Financial Executives & Officers
  • Bank and Financial Executives
  • Legal and Compliance Executives


Debra Jenks, Esq.Partner
Jenks & Harvey LLP
Heather MiddletonCounsel
Riker Danzig Scherer Hyland & Perretti LLP



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