transcript   Transcript

Broker-Dealer Exam Priorities and Hot Topics

Recorded on: Jul. 23, 2018
Running Time: 00:58:20

Full Transcript:

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Taken from the Web Program Fundamentals of Broker-Dealer Regulation 2018 Recorded July 2018 in New York

Broker-Dealer Exam Priorities and Hot Topics [00:58:20]
  • 2018 exam priorities
  • The Uniform Standard of Care
  • Blockchain technology

Stephanie Nicolas, Lanny A. Schwartz, Joseph J. Sheirer

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

  • Brett Redfearn, Director, Division of Trading and Markets, U.S. Securities and Exchange Commission, Speech, Remarks at the FINRA Annual Conference (May 22, 2018)
    Clifford E. Kirsch
  • Jay Clayton, Chairman, U.S. Securities and Exchange Commission, Speech, The Evolving Market for Retail Investment Services and Forward-Looking Regulation—Adding Clarity and Investor Protection while Ensuring Access and Choice (May 2, 2018)
    Clifford E. Kirsch
  • Financial Industry Regulatory Authority (FINRA), Progress Report on FINRA360 (April 2018)
    Clifford E. Kirsch
Presentation Material
  • Municipal Securities Compliance Basics for Broker-Dealers
    Lanny A. Schwartz
  • SEC Proposed Standards of Conduct for Investment Professionals
    Stephanie Nicolas
  • (s)
    Stephanie Nicolas ~ WilmerHale LLP
    Lanny A. Schwartz ~ Chief Regulatory Officer, Municipal Securities Rulemaking Board
    Joseph J. Sheirer ~ District Director, Financial Industry Regulatory Authority (FINRA)
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