FINRA's New Supervision Rules

Recorded on: Mar. 8, 2012

Running Time: 01:02:24

Transcript
Overview
Faculty

Full Transcript:

Transcripts of selected programs may be accessed by Privileged Members. If you are a member, please log in. If you are not a member, please consider having your firm join. Or become an Individual Member.

To access the streaming media of this presentation, please purchase the corresponding seminar segment.

Taken from the Web Program Broker-Dealer and Adviser Regulatory Compliance Forum 2012 recorded February, 2012 in New York.

Lecture Topics [01:02:24]

FINRA's New Supervision Rules [01:02:24]

Supervision of non-securities lines of business
Review of transactions and electronic communications
Supervision of representatives’ outside activities
Ethical challenges associated with the rules

The purchase price of this segment includes the following article from the Course Handbook available online:

Broker-Dealer Supervision
Clifford E. Kirsch, Issa J..Hanna
Outsourcing Back-Office Functions to Third-Party Service Providers: Supervisory Responsibilities and Best Practices
Stephanie Nicolas

Transcript FAQ's

How Can I Access Transcripts?
You must be a Member in good standing.
Can I access the Video?
Yes, you can access the video if you have the Adobe Flash plugin installed. Click on the video camera icon when you mouse over each paragraph. The media will begin playback at that point.
Can I get CLE credit?
Yes, you can get CLE credit by watching the full web segment and your time will be tracked in six minute intervals (like any other PLI Web Segment). Please note: CLE credit will not be granted for only reading the transcript.

FOLLOW PLI:

TRUSTe European Safe Harbor certification

Practice Areas

Location

Credit Type

Format

Practice Areas

Credit Type

Format

Specialty

Practice Areas

Format

Subscriptions

Transcript

FINRA's New Supervision Rules

Full Transcript:

Transcripts of selected programs may be accessed by Privileged Members. If you are a member, please log in. If you are not a member, please consider having your firm join. Or become an Individual Member.

To access the streaming media of this presentation, please purchase the corresponding seminar segment.


	Practice Areas Accounting Banking Corporate & Securities Employment ERISA Ethics/Professional Responsibility Health Care Intellectual Property International Litigation Patent Pro Bono Professional Skills Real Estate Tax Location New York, NY San Francisco, CA Chicago, IL Washington, DC Columbus, OH Credit Type Elimination of Bias Ethics General Professional Practice Skills Format Groupcasts Seminars Webcasts One-Hour Briefings


	Practice Areas Accounting Banking Bankruptcy & Restructuring Corporate & Securities Employment ERISA Ethics/Professional Responsibility Intellectual Property International Litigation Patent Pro Bono Professional Skills Real Estate Tax Credit Type Elimination of Bias Ethics General Practice Management Professional Practice Professionalism Skills Substance Abuse Trial Format Audio Download (MP3) Web Segments Video Download (MP4) On-Demand Web Programs DVD Videos Audio CDs Audio Only Web Programs PLI Mobile CLE App Specialty eMentor Transcripts


	The Exam Live Courses Homestudy Course Testimonials FAQ's For Engineers & Scientists


	Securities Law Practice Center Patent Law Practice Center PLI Librarian