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Understanding the New World of State RIA Regulation
Tuesday, January 17, 2012
4:00 p.m. – 5:00 p.m. ET
This spring will mark a significant expansion of state regulatory authority over registered investment advisers. Join our team of experts for an in-depth exploration and explanation of what advisers must do to prepare — and succeed — in light of the coming changes.
Our experts will discuss::
- Which advisers must move to state registration?
- Which can stay with the SEC?
- How state oversight will differ
- What advisers can expect from state examinations
A free and invaluable resource.
Listen to our expert panelists LIVE from your own desk. Ask questions about how changes in state regulation will affect you.
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Patrick J. Burns, Jr.
Advanced Regulatory Compliance Inc.
Patrick J. Burns, Jr., J.D. is the managing attorney with the Law Offices of Patrick J. Burns, Jr., P.C., a securities law firm dedicated to assisting industry members with their legal needs. He is also the President and founder of Advanced Regulatory Compliance, Inc. Additionally, he is the Mr. Burns is a member of the California, New York and New Jersey Bars. He received his Juris Doctorate degree from Southwestern University School of Law in Los Angeles, California and Bachelor of Business Administration degree from Pace University's Lubin School of Business in Pleasantville, New York. Mr. Burns began his professional career with a New Jersey based law firm and then worked in a legal/compliance capacity for several financial services firms located in New York
City and Los Angeles. During his financial services career, he acquired numerous FINRA and insurance licenses. Mr. Burns is a frequent industry speaker on breakaway broker matters, investment advisory compliance issues and general regulatory matters.
Brian S. Hamburger
Founder and Managing Director
Brian Hamburger is the Founder and Managing Director of MarketCounsel, a business and regulatory compliance consulting firm to some of the country’s preeminent entrepreneurial independent investment advisors. He is also the Founder and Managing Member of the Hamburger Law Firm, a boutique law firm practicing in areas investment and securities law as well as relevant corporate and employment matters. For four years running, MarketCounsel has been named one of the fastest growing private companies in the U.S. by Inc. Magazine. Mr. Hamburger’s prior experience spans government, both regulatory with the Enforcement Division of the U.S. Securities & Exchange Commission and judicial with the U.S. District Court and the state appellate court; from booking trades as a wirehouse intern to serving as chief compliance officer of an SEC-registered investment adviser; and, of course, private law practice.
ACA Compliance Group
Gary Watkins is a founding partner of ACA and is located in the Richmond office. His primary responsibilities include conducting mock inspections of investment advisers and hedge funds, and registering advisers with the SEC or state regulatory agencies. Gary also assists ACA clients in responding to SEC deficiency letters, reviewing best execution and trading practices, preparing advertisements that comply with the federal securities laws and developing customized policies and procedures. In addition, he has liaised with the SEC on behalf of his clients during regulatory inspections. A frequent speaker at industry seminars, he also writes articles related to compliance issues. Prior to joining ACA, Gary owned his own consulting firm servicing investment advisors. He was responsible for consulting on a variety of compliance issues related to federal and state registered investment advisors.