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Examinations and Rulemaking Developments: Broker/Dealer Regulatory Update

Recorded on: Oct. 17, 2018
Running Time: 01:01:42

Full Transcript:



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Taken from the Web Program Broker/Dealer Regulation and Enforcement 2018 Recorded October 2018 in New York

Examinations and Rulemaking Developments: Broker/Dealer Regulatory Update [01:01:42]

Panel will discuss recent regulatory developments that have been receiving examination and rulemaking attention. Topics will include:

  • Exam priorities:
    • Retail investors including electronic investment advice, costs of investing;
    • Senior investors and retirement investments, sales practices, FINRA Rule 2165;
    • Market wide risks, including Market Access Rule and Regulation SCI;
    • ICOs, crypto, and cyber;
    • Best execution: options and order routing
  • Current rule initiatives:
    • Regulation BI
    • Transaction Fee Pilot
    • CAT
    • FINRA Rulemaking

Moderator: Stephen Luparello
Speakers: Susan F. Axelrod, Stephanie M. Dumont, Andre E. Owens

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

  • Examinations and Rulemaking Developments: 2018 Broker/Dealer Regulatory Update
    Stephanie M. Dumont, Stephen Luparello, Susan F. Axelrod, Andre E. Owens
(s)
Susan F. Axelrod ~ Chief Supervisory Officer, Bank of America Merrill Lynch
Stephanie M. Dumont ~ Senior Vice President and Director of Capital Markets Policy; Office of General Counsel - Regulatory, FINRA
Stephen Luparello ~ General Counsel, Citadel Securities
Andre E. Owens ~ Wilmer Cutler Pickering Hale and Dorr LLP
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