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PLI’s blog edited by Clifford E. Kirsch on Regulatory Developments for BDs and IAs.
Legal and compliance personnel at broker-dealers are dealing with a challenging and dynamic regulatory landscape, including enhanced standard of conduct rules applying to broker-dealer recommendations to retail clients, regulatory scrutiny of new types of brokerage trading platforms and ongoing exam and enforcement scrutiny. In addition to discussing these challenges, this program will provide attendees with a solid foundation in the regulatory regime applying to broker-dealers. Attendees will learn how the Securities Exchange Act of 1934, FINRA rules and state securities laws interact in governing the brokerage industry.
Attendees will hear directly from industry experts and regulators about recent developments, exam and 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.
What You Will Learn
After completing this program, participants will be able to:
- Know who the regulators are and how they interact
- Better understand what is entailed with respect to the duty to supervise
- Define who is a broker-dealer and recognize how they register
- Understand what steps need to be taken in response to the SEC’s and FINRA’s focus on conflicts
- Know what records a broker-dealer is required to maintain
- List the SEC’s and FINRA’s 2023 exam priorities