On-Demand   On-Demand Web Programs

Fundamentals of Broker-Dealer Regulation 2018

Released on: Jul. 30, 2018
Running Time: 06:41:28
In addition to the credits listed to the right, this program also offers credit for ABA professional certification. Fundamentals of Broker-Dealer Regulation 2018 has been approved for 8 CRCM, 8 CSOP, 8 CTFA credits. This statement should not be viewed as an endorsement of this program or its sponsor.

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Major changes in the broker-dealer industry and regulatory framework are anticipated as a result of the new administration and new senior leadership at the SEC that is providing a fresh and comprehensive examination of financial services regulation.  At the same time, the broker-dealer industry is undergoing change as new rules put pressure on the traditional commission-based model and as digital advice platforms continue to take hold   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.

Lecture Topics [Total time 06:41:28]

Segments with an asterisk (*) are available only with the purchase of the entire program.

  • Opening Remarks* [00:09:00]
    Clifford E. Kirsch
  • Who is a Broker-Dealer? How do Broker-Dealers Register? The Different Types of Broker-Dealers [01:19:28]
    David W. Blass, Brandon A. Hill
  • An Overview of the Broker-Dealer Regulatory Framework [01:16:03]
    G. Philip Rutledge, Susan S. Krawczyk
  • 1934 Act Framework [00:59:09]
    Andrew J. Shipe
  • The FINRA Framework [01:00:43]
    Clifford E. Kirsch, Cece Baute Mavico, Meredith Cordisco
  • FINRA Arbitration [00:58:45]
    Richard W. Berry, Frank J. Cuccio, Brent A. Burns
  • Broker-Dealer Exam Priorities and Hot Topics [00:58:20]
    Joseph J. Sheirer, Stephanie Nicolas, Lanny A. Schwartz

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

  • COMPLETE COURSE HANDBOOK
  • U.S. Securities and Exchange Commission: Division of Trading and Markets—Investor Publications: Guide to Broker-Dealer Registration (October 6, 2009)
    Clifford E. Kirsch
  • State Registration of Broker-Dealers
    G. Philip Rutledge
  • Overview of the Broker-Dealer Regulatory Framework (May 24, 2018)
    Andrew J. Shipe
  • Overview of the FINRA Rulebook Framework (May 26, 2018)
    Clifford E. Kirsch
  • The Financial Industry Regulatory Authority’s Dispute Resolution Activities (May 16, 2018)
    Richard W. Berry
  • Brian J. Ellis and Kathryn Burfitt Rockwood, Bressler, Amery & Ross, P.C., Securities Law Alert, Federal Agency Moves to Block Mandatory Arbitration for Financial Disputes (July 12, 2017)
    Frank J. Cuccio
  • Brian J. Ellis and Kathryn Burfitt Rockwood, Bressler, Amery & Ross, P.C., Securities Law Alert, Consumer Financial Protection Bureau Rule—One Step Closer to Repeal (July 26, 2017)
    Frank J. Cuccio
  • Brian J. Ellis and Kathryn Burfitt Rockwood, Bressler, Amery & Ross, P.C., Securities Law Alert, Time Is Ticking for Efforts to Repeal the Consumer Financial Protection Bureau Rule (October 24, 2017)
    Frank J. Cuccio
  • Brian J. Ellis and Kathryn Burfitt Rockwood, Bressler, Amery & Ross, P.C., Securities Law Alert, 51-50 Vote Defeats Rule Banning Mandatory Arbitration (October 25, 2017)
    Frank J. Cuccio
  • Kathryn Burfitt Rockwood, Bressler, Amery & Ross, P.C., Securities Law Alert, Sixth Circuit Broadly Applies “Arises in Connection with Business Activities” to Compel Mandatory Arbitration (January 9, 2018)
    Frank J. Cuccio
  • 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

  • Broker-Dealer 101
    David W. Blass
  • FINRA’s Membership Program
    David W. Blass, Brandon A. Hill
  • Regulation of Broker-Dealers at the Federal Level
    Susan S. Krawczyk
  • State Regulation of Broker-Dealers and Agents
    G. Philip Rutledge
  • Federal Framework: The Securities Exchange Act of 1934
    Andrew J. Shipe
  • Overview of the FINRA Rulebook Framework
    Meredith Cordisco, Clifford E. Kirsch, Cece Baute Mavico
  • Municipal Securities Compliance Basics for Broker-Dealers
    Lanny A. Schwartz
  • SEC Proposed Standards of Conduct for Investment Professionals
    Stephanie Nicolas
Chairperson(s)
Clifford E. Kirsch ~ Eversheds Sutherland (US) LLP
Speaker(s)
Richard W. Berry ~ Executive Vice President, Director of Dispute Resolution, FINRA Office of Dispute Resolution
David W. Blass ~ Simpson Thacher & Bartlett LLP
Brent A. Burns ~ Law Offices of Brent A. Burns, LLC
Meredith Cordisco ~ Associate General Counsel, Office of General Counsel, Financial Industry Regulatory Authority (FINRA)
Frank J. Cuccio ~ Bressler, Amery & Ross, P.C.
Brandon A. Hill ~ Senior Counsel in the Office of Chief Counsel, Division of Trading and Markets , U.S. Securities and Exchange Commission
Susan S. Krawczyk ~ Eversheds Sutherland (US) LLP
Cece Baute Mavico ~ Senior Vice President and Associate General Counsel, LPL Financial LLC
Stephanie Nicolas ~ WilmerHale LLP
G. Philip Rutledge ~ Bybel Rutledge LLP
Lanny A. Schwartz ~ Chief Regulatory Officer, Municipal Securities Rulemaking Board
Joseph J. Sheirer ~ District Director, Financial Industry Regulatory Authority (FINRA)
Andrew J. Shipe ~ Arnold & Porter, Kaye Scholer LLP
General credit information about this format appears below. For credit information specific to this program, please choose your jurisdiction(s) in the Credit Information box on the right-hand side of this page.

PLI’s live and on-demand webcasts are single-user license products intended for an individual registrant only. Credit will be issued only to the individual registered.


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Arkansas:  PLI’s on-demand web programs are not approved for Arkansas CLE credit.

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Colorado:  All PLI products can fulfill Colorado’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Connecticut: Effective January 1, 2017, all PLI products can fulfill Connecticut’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Delaware:  PLI’s on-demand web programs qualify as “eCLE” credit. Attorneys are limited to 12 credits of eCLE per reporting period, no more than 6 of which may be audio-only.

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Idaho:  PLI’s on-demand web programs qualify as “self-study” credit. Attorneys are limited to 15 credits of self-study per reporting period.

Illinois:  All PLI products can fulfill Illinois' CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via PLI products.

Indiana:  PLI’s on-demand web programs qualify as “distance education” credit. Attorneys are limited to 9 credits of distance education per reporting period. Effective January 1, 2019, the limit of distance education per reporting period will increase from 9 to 18 credits.

Iowa:  PLI’s on-demand web programs qualify as “unmoderated” credit. Attorneys are limited to 6 credits of unmoderated programs per reporting period.

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Maine:  PLI’s on-demand web programs qualify as “self-study” credit. Attorneys are limited to 5.5 credits of self-study per reporting period.

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Mississippi:  PLI’s on-demand web programs qualify as “distance learning” credit. Attorneys are limited to 6 credits of distance learning per reporting period.

Missouri:  PLI’s on-demand web programs qualify as “self-study” credit. Attorneys are limited to 6 credits of self-study per reporting period.

Montana:  PLI’s on-demand web programs qualify as “self-study” credit. Attorneys are limited to 5 credits of self-study per reporting period.

Nebraska:  PLI’s on-demand web programs qualify as “computer-based learning” credit. Attorneys are limited to 5 credits of computer-based learning per reporting period.

Nevada:  PLI’s on-demand web programs qualify as “self-study” credit. There is no limit to the number of credits an attorney can earn via self-study programs.

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New Jersey:  PLI’s on-demand web programs qualify as “alternative verifiable learning formats” credit. Attorneys are limited to 12 credits of alternative verifiable learning formats per reporting period.

New Mexico:  PLI’s on-demand web programs qualify as “self-study” credit. Attorneys are limited to 4 credits of self-study per reporting period.

New York

Experienced Attorneys:  All PLI products can fulfill New York’s CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via PLI products.

Newly Admitted Attorneys:  PLI’s transitional on-demand web programs can be used to fulfill the requirements for New York newly admitted attorneys. Only professional practice and law practice management credits may be earned via transitional on-demand web programs. Ethics and skills credits may not be earned via on-demand web programs.

North Carolina:  PLI’s on-demand web programs qualify as “online” credit. Attorneys are limited to 6 credits of online programs per reporting period.

North Dakota:  PLI’s on-demand web programs qualify as “self-study” credit. Attorneys are limited to 15 credits of self-study per reporting period.

Ohio:  PLI’s on-demand web programs qualify as “self-study” credit. Attorneys are limited to 12 credits of self-study per reporting period.

Oklahoma:  PLI’s on-demand web programs qualify as “online, on-demand” credit. Attorneys are limited to 6 credits of online, on-demand programs per reporting period.

Oregon:  All PLI products can fulfill Oregon’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Pennsylvania:  PLI’s on-demand web programs qualify as “distance learning” credit. Attorneys are limited to 6 credits of distance learning per reporting period.

Puerto Rico:  All PLI products can fulfill Puerto Rico’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Rhode Island:  PLI’s on-demand web programs qualify as “video replay” credit. Attorneys are limited to 6 video replay credits per reporting period.

South Carolina:  PLI’s on-demand web programs qualify as “alternatively delivered” credit. Attorneys are limited to 6 credits of alternatively delivered programs per reporting period.

Tennessee:  PLI’s on-demand web programs qualify as “distance learning” credit. Attorneys are limited to 8 credits of distance learning per reporting period.

Texas:  All PLI products can fulfill Texas’ CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Utah:  PLI’s on-demand web programs qualify as “self-study” credit. Attorneys are limited to 12 credits of self-study per reporting period.

Vermont:  PLI’s on-demand web programs qualify as “self-study” credit. Attorneys are limited to 10 credits of self-study per reporting period.

Virgin Islands:  All PLI products can fulfill the Virgin Islands’ CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Virginia:  PLI’s on-demand web programs qualify as “pre-recorded” credit. Attorneys are limited to 8 credits of pre-recorded programs per reporting period.

Washington:  All PLI products can fulfill Washington’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

West Virginia:  PLI’s on-demand web programs qualify as “online” credit. Attorneys are limited to 12 credits of online instruction per reporting period.

Wisconsin:  PLI’s on-demand web programs qualify as “repeated, on-demand” credit. Attorneys are limited to 15 credits of repeated, on-demand programs per reporting period. No ethics credits can be earned via on-demand web programs.

Wyoming:  PLI’s on-demand web programs qualify as “self-study” credit. Attorneys are limited to 6 credits of self-study per reporting period.


CPD Jurisdictions

British Columbia (CPD-BC):  PLI’s on-demand web programs are not eligible for CPD-BC credit unless viewed with at least one other attorney or an articled student. In this case, the credit must be recorded as a “study group.”

Ontario (CPD-ON):  PLI’s on-demand web programs qualify as “recorded” credit. If viewed without a colleague, attorneys are limited to 6 credits of recorded programs per year. If viewed with at least one colleague, there is no limit to the number of credits that can be earned via recorded programs.

Quebec (CPD-QC):  PLI’s on-demand web programs can fulfill Quebec’s CPD requirements.

Hong Kong (CPD-HK):  PLI’s on-demand web programs are not approved for CPD-HK credit.

United Kingdom (CPD-UK):  PLI’s on-demand web programs can fulfill the United Kingdom’s CPD requirements.

Australia (CPD-AUS):  PLI’s on-demand web programs may fulfill Australia’s CPD requirements. Credit limits for on-demand web programs vary according to jurisdiction. Please refer to your jurisdiction’s CPD information page for specifics.

Alberta (CPD-ALBERTA):  All PLI products can fulfill Alberta’s CPD requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Dubai (CLPD-DUBAI):  PLI’s on-demand web programs may fulfill CLPD credit requirements.


Other Credit Types

CPE Credit (NASBA):  Select on-demand web programs qualify as the “QAS Self-Study” delivery method. Please check the Credit Information box on the right-hand side of this page to verify CPE credit availability.

IRS Continuing Education (IRS-CE):  PLI’s on-demand web programs may fulfill IRS-CE requirements. To request IRS-CE credit, please notify PLI at plicredits@pli.edu of your request and include your Preparer Tax Identification Number (PTIN).

Certified Fraud Examiner CPE:  PLI’s on-demand web programs may fulfill Certified Fraud Examiner CPE requirements. To request CPE credit or find out which programs offer CPE, please contact PLI at plicredits@pli.edu.

IAPP Continuing Privacy Credit (CPE):  PLI’s on-demand web programs may fulfill Privacy CPE credit requirements.

HR Recertification (HRCI):  PLI’s on-demand web programs may fulfill HR credit requirements.

SHRM Recertification (SHRM):  PLI’s on-demand web programs qualify as "self-paced" credit. SHRM professionals are limited to 30 credits of self-paced programs per recertification period.

Compliance Certification Board (CCB):  PLI’s on-demand web programs qualify as “self-study” credit. Candidates are limited to 10 self-study credits per 12-month period, and certification holders are limited to 20 self-study credits per 2-year renewal period.

Certified Anti-Money Laundering Specialists Certification (CAMS):  PLI’s on-demand web programs are not approved for CAMS credit.

New York State Social Worker Continuing Education (SW CPE):  PLI’s on-demand web programs are not approved for SW CPE credit.

American Bankers Association Professional Certification (ABA):  PLI’s on-demand web programs may fulfill ABA credit requirements.

Certified Financial Planners (CFP):  PLI’s on-demand web programs are not approved for CFP credit.

 

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