transcript   Transcript

Broker-Dealer Exam Priorities and Hot Topics

Recorded on: Jul. 18, 2017
Running Time: 00:57:27

Full Transcript:

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Taken from the briefing Fundamentals of Broker-Dealer Regulation 2017 recorded July, 2017 in New York.

Broker-Dealer Exam Priorities and Hot Topics [00:57:26]
  • 2017 exam priorities
  • The IRA rollover market
  • The Uniform Standard of Care
Ira Hammerman, Lee A. Schneider

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

  • Broker-Dealer Exam Priorities and Hot Topics (May 8, 2017)
    Lee A. Schneider

Presentation Material

  • 2017 Priorities
    Ira Hammerman
Ira Hammerman ~ Executive Vice President and General Counsel , SIFMA
Lee A Schneider ~ Debevoise & Plimpton LLP
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