The FTC recently announced that it is delaying its enforcement date of the Red Flags Rule until November 1, 2009. See FINRA's webpage on the Red Flags rule for further information relevant to broker-dealers, including a template for written procedures relating to the rule and a FINRA podcast relating to the rule.
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- Joel Beck, a former NASD Department of Enforcement lawyer, formed The Beck Law Firm, LLC in 2007. Joel's practice primarily focuses on representing broker-dealers, stockbrokers and investment advisers in disciplinary investigations and actions, customer complaints, arbitration claims and civil litigation, as well as representing investors in securities arbitration claims. Joel has been designated a Certified Regulatory and Compliance Professional (CRCP) by the NASD Institute at the Wharton School of Business, University of Pennsylvania. Click on the link above to visit our website and learn more.
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August 14, 2009
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