Half Day Program

See Credit Details Below

Overview

Why You Should Attend

Today, dually registered broker-dealers and advisers dominate the retail marketplace.  As such, it comes as no surprise that dually-registered firms are under intense regulatory scrutiny—including an increasingly demanding examination focus from the SEC, FINRA and the states.  At the same time, the regulatory framework applying to dual-registrants is changing dramatically with the finalization of the SEC’s enhanced standard of care applicable to broker-dealers and other standard of conduct initiatives.  At this program, attendees will be provided with expert analysis regarding today’s hot topics impacting broker-dealer dual-registrants.  A distinguished faculty of practitioners and regulators will review current regulatory initiatives and recent examination and enforcement activity to give attendees a multi-faceted perspective on requirements and best practices in this area.

What You Will Learn

  • SEC and FINRA scrutiny of broker-dealer supervision of advisory activity
  • The SEC’s Reg BI final rule and related exam focus  
  • What are the limits and extent of FINRA’s jurisdiction with respect to broker-dealer advisory activity?
  • What are the lessons learned from recent SEC and FINRA enforcement actions, including the recent wave of adviser conflict of interest actions?
  • Current exam initiatives

Who Should Attend

This program is designed for legal and compliance professionals at broker-dealers and advisers.  We will also frame the discussion so that anyone entering the financial services industry will benefit from the program's thorough grounding regarding the basic regulatory compliance governing broker-dealers and advisers.

Program Level: Basic

Prerequisites: An interest in broker-dealer and investment adviser issues and regulation.   

Intended Audience: This program is designed for legal and compliance professionals at broker-dealers and advisers.  We will also frame the discussion so that anyone entering the financial services industry will benefit from the program's thorough grounding regarding the basic regulatory compliance governing broker-dealers and advisers.  

Other Prerequisite: None

Advanced Prep: None

Credit Details

Schedule & Location

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