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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 ...

A. Valerie Mirko

Faculty  Faculty

A. Valerie Mirko is the General Counsel of the North American Securities Administrators Association (NASAA).  Ms. Mirko joined NASAA’s Legal Department in 2012 and became General Counsel in 2015.  Ms. Mirko’s work with U.S. state securities regulators focuses on matters pertaining to investment adviser regulation and oversight, multistate enforcement investigations and settlements, and registration and disclosure requirements ...More

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