Remote Supervision

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Arkansas CLE
Accreditation Info

Courses purchased through UnitedCLE.com are provided and fully accredited by The National Academy of Continuing Legal Education, an accredited CLE Provider (3446) in Arkansas, approved by the Arkansas Continuing Legal Education Board. To view our full accreditation details please .

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About This Course

Remote work has become the norm in the post-COVID world. This CLE course, presented by FINRA staff and industry panelists, will explain what they have learned as they moved to remote work.

Presenters will discuss a wide range of issues including effective controls, processes and procedures being incorporated by member firms to address supervision in remote work environments. The course will enable you to identify these as well as evaluate effective practices that are emerging as a result of the move to remote work.

Lecturer Bios

Sarah S. Kwak, Esq.

Sarah S. Kwak is Associate General Counsel in FINRA’s Office of General Counsel, specializing in sales practice regulatory policy with a particular focus on the FINRA rules governing the membership application process, supervision, and customer account statements.

Prior to joining FINRA, Ms. Kwak was an Assistant Vice President at Merrill Lynch Pierce Fenner & Smith and served as a judicial law clerk for United States Bankruptcy Court Judge Barry Russell of the Central District of California. She holds two bachelor’s degrees from the University of California at Irvine and a J.D. from Washburn University School of Law.

Jessica Pastorino

Jessica Pastorino has been involved in the securities industry since 2006 with a focus on compliance and operations for privately-placed transactions including capital raising and M&A advisory services.

As President and Chief Compliance Officer for M&A Securities Group, Ms. Pastorino runs a firm that offers a broker-dealer platform for independent middle-market investment banking professionals and boutique advisory groups. Ms. Pastorino believes in a solution-based approach to compliance challenges. Ms. Pastorino holds her Series 24, 79, 62, 22, 39 and 63 licenses.

Ms. Pastorino earned her Bachelor of Arts Degree in English at California State University Long Beach and serves as a member of the FINRA District and FINRA CAP committees.

Gina Rettagliata

Gina Rettagliata joined FINRA in 2003 and is Examination Director located in the Woodbridge, New Jersey office. She leads a geographically dispersed team of Exam Managers responsible for planning and executing Member Supervision’s examination program relative to a subset of firms engaged primarily in retail sales.

She brings several years of industry experience to her role, including as Vice President and AML Compliance Officer of a major online trading firm. Mrs. Rettagliata has a Bachelor of Arts degree in Political Science from the University of South Florida and is a graduate of the FINRA Institute at Georgetown Certified Regulatory and Compliance Professional (CRCP)® program.

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Accreditation and CLE Rules for Arkansas

Remote Supervision

Arkansas CLEAccreditation Info

About This Course

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Arkansas CLE
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