Dave Banerjee CPA is a FINRA district 2 committee member 2017 – 2019

finra.org

Dave represents a FINRA small firm seat in FINRA district 2 – Los Angeles, CA

 

District 2 – Los Angeles Office is located at: 

300 South Grand Avenue, Suite 1600
Los Angeles, CA 90071-3126
(213) 229-2300

David A. Greene, District Director
Donald K. Lopezi, Senior Vice President and Regional Director

Areas covered by district 2: Southern California (that part of the state south or east of the counties of Monterey, San Benito, Fresno, and Inyo), southern Nevada (that part of the state south or east of the counties of Esmeralda and Nye) and the former U.S. Trust Territories


District 2 Meetings and Events

– January 2017 : New committee member orientation. The orientation covers responsibilities of district committee members and opportunities to participate as hearing panelists.

Regional Meetings

Regional meetings are an opportunity for member firms to discuss FINRA regulatory programs and in-depth discussion of FINRA topics. Senior Staff members from FINRA attend these meetings as well as committee members and firm members. Regional District Committee Meetings are held 2 times each year within the region. For 2017,  district meetings are as follows:

– March 2 2017 : West Region Meeting,  Santa Monica CA  

– October 12 2017 : West Region Meeting, Phoenix AZ

Feel free to suggest a topic for the Regional meeting by starting a discussion in the LinkedIn group below or reach out to Dave Banerjee CPA directly via phone, skype, or email.


Join our LinkedIn District 2 discussion group  

FINRA Exam & Audit Group      linkedin

The FINRA Exam & Audit Response Network is a place for compliance professionals and securities firms to discuss regulatory exam challenges, priorities letter concerns, survival tips, strategies for working with examiners, outcomes, and anything related.