Expertise
FINRA and SEC Rules, Retail Securities Sales Practices, Suitability, Supervision, Elder Fraud, Employment Disputes, Fiduciary Duty, Reg BI, Reg S-P, Conflicts of Interest, New Product Governance and Due Diligence, Statutory Disqualification, SEC Registration, FINRA Membership Application (MAP/CMA rules), SEC Regulation R/Bank Networking Arrangements, Form U/4/U-5/CRD analysis, Broker-Dealer and Investment Adviser compliance.
(For search purposes, not intended to be a comprehensive list)
Expertise
FINRA and SEC Rules, Retail Securities Sales Practices, Suitability, Supervision, Elder Fraud, Employment Disputes, Fiduciary Duty, Reg BI, Reg S-P, Conflicts of Interest, New Product Governance and Due Diligence, Statutory Disqualification, SEC Registration, FINRA Membership Application (MAP/CMA rules), SEC Regulation R/Bank Networking Arrangements, Form U/4/U-5/CRD analysis, Broker-Dealer and Investment Adviser compliance.
(For search purposes, not intended to be a comprehensive list)
Jeff Holik is an attorney and seasoned financial services professional with many years of securities industry experience. Jeff's expertise reflects his long tenure as a senior leader with NASD Regulation (now FINRA), during which he served as general counsel and senior vice president for member regulation, followed by nine years as chief legal officer of the broker-dealer and retail investment adviser affiliates of PNC Bank.
Curriculum Vitae
SER Voting Member
