Hello, everyone, and welcome to today's webinar, hosted by me, Joe Boyhan of MCO and Jennifer Lin, partner and head of compliance group at DLA.

Today's webinar is titled, "Best Practices to Keep your Firm SEC and FINRA Compliant this Season." The slides and recording will be emailed to all registrants after the session. 

Now, I'm delighted to introduce you my co-host. Jennifer Lin is a partner at DLA and heads the firm's compliance practice. She has over 15 years of compliance experience in the securities industry and is an expert servicing broker dealers and investment advisors. Jennifer's broad securities compliance experience provides extensive expertise in securities regulations and the execution, analysis, testing, and evaluation of the supervisory and internal controls of the compliance program.

Thank you, Joe. Thank you, everyone, for joining us today for this webinar. 

You know, with the holiday season upon it, now is always a good time to remind your employees of your gifts and entertainment policy and how to avoid conflicts of interest. 

This webinar was co-hosted with www.dlallc.com