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Broker/Dealer Regulation and Enforcement 2018

On-Demand Web Programs  On-Demand Web Programs    Web Segment  Web Segment    MP3 Audio  Audio Download (MP3)    MP4 - Mobile Video Seg  Video Download (MP4)    

From the program: Broker/Dealer Regulation and Enforcement 2018

Released on: Oct. 23, 2018

In addition to the credits listed to the right, this program also offers credit for ABA professional certification. Broker/Dealer Regulation and Enforcement 2018 has been approved for 6.5 CAFP, 7.75 CRCM and 6.5 CSOP credits. This statement should not be viewed as an endorsement of this program or its sponsor. This program will address the many significant developments and trends in the regulation and oversight of broker-dealers. As uncertainty remains ...

Daniel E. Kosowsky

Faculty  Faculty

Daniel Kosowsky is the Chief Compliance Officer for Institutional Securities—Americas. Dan oversees the Compliance Department covering matters related to Sales and Trading, Investment Banking, Capital Markets, Research and the affiliated Operational support areas across the United States, South America and Canada. Previously, he was the Chief Compliance Officer for Morgan Stanley Wealth Management, and has also held a number of senior positions ...More


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