General

PA

5.50

Seminars & Webcasts

• Jun. 24, 2013 New York, NY

• Jun. 24, 2013 Birmingham, AL
• Jun. 24, 2013 Philadelphia, PA
• Jun. 24, 2013 Pittsburgh, PA
• Jun. 24, 2013 Mechanicsburg, PA
• Jun. 24, 2013 Boston, MA
• Jun. 24, 2013 New Brunswick, NJ

Major changes in broker-dealer regulation and the industry have come about as a result of the financial services crisis and the resulting regulatory reform. At the same time, FINRA’s overhaul of its rulebook as part of its Rulebook Consolidation process is almost complete. This program will provide attendees with a solid foundation in the regulatory regime applying to broker-dealers, including what to expect next regarding broker-dealer regulation. ...

• Jul. 17, 2013 New York, NY

• Jul. 17, 2013 Boston, MA
• Jul. 17, 2013 Birmingham, AL
• Jul. 17, 2013 Philadelphia, PA
• Jul. 17, 2013 Mechanicsburg, PA
• Jul. 17, 2013 New Brunswick, NJ
• Jul. 17, 2013 Pittsburgh, PA

In the aftermath of the financial crisis and the resulting regulatory reform, the SEC has advanced significant rulemaking to impose a greater degree of controls on investment advisers’ operations. In fact, the SEC has put the regulation of investment advisers under the microscope, establishing new rules related to adviser custody, political contributions and adviser disclosure and has retooled its adviser exam program.At this program, attendees will ...

• Sep. 12, 2013 New York, NY

• Sep. 12, 2013 Boston, MA
• Sep. 12, 2013 Birmingham, AL
• Sep. 12, 2013 Columbus, OH

In 2012, hedge funds and their managers faced their first year of operations under new regulations enacted under Dodd-Frank. New entrants to the hedge fund industry now had large barriers to entry; existing managers had to deal not only with new regulations but many were also forced to grapple with regulatory investigations and insider trading allegations. At the same time, hedge fund managers had to continue to deal with the day-to-day operational ...