6-Hour Program

See Credit Details Below

Overview

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Why You Should Attend

Major changes in the broker-dealer industry and regulatory framework continue as a result of the financial services crisis, the resulting regulatory reform and a new Administration that is providing a fresh and comprehensive examination of financial services regulation.  At the same time, broker-dealers are subject to intense regulatory exam and enforcement scrutiny.   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.  Attendees will learn how the Securities Exchange Act of 1934, FINRA rules and state securities laws interact in governing the brokerage industry.

Attendees will also learn about recent exam and regulatory enforcement activity by the SEC, FINRA, and the states and about how broker-dealers are responding to these developments and the challenges ahead for the industry.

A distinguished faculty will offer insights into recent rulemaking that is having a far-reaching impact on the day-to-day operations of firms.

What You Will Learn

  • Who are the regulators and how do they interact?
  • What is entailed with respect to the duty to supervise?
  • What steps need to be taken in response to the SEC’s and FINRA’s focus on Conflicts?
  • What is “suitability”?
  • Will broker-dealers be subject to a new SEC Uniform Standard of Care?
  • What is the role of the chief compliance officer?
  • What are the SEC’s and FINRA’s 2017 exam priorities?

Who Should Attend

Anyone entering the brokerage industry will benefit from this program’s thorough grounding in the basic regulatory regime governing the industry, as will anyone already working in the industry who would like a refresher.

Credit Details