I assisted in avoiding litigation by continuing to stay in front of, not just important notices, but all FINRA matters. On a weekly basis, I dedicate time to visiting FINRA’s website and I peruse though the “Recent Updates” section, looking through each of the items under the “What’s New”, “Notices”, “Open Requests”, “Rule Filings”, and “Communications to Firms”. In addition to reviewing the items posted on FINRA’s website, I also receive emails from the SEC regarding different items that I subscribed to on their website on a daily basis. Furthermore, I have attended a handful of NSCP Conferences, which is equally as important as the previous two items, because discussing with my peers and colleagues the items that they are seeing and going
