3-Hour Program

See Credit Details Below

Overview

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Why You Should Attend

Broker-dealers that are dually registered as investment advisers 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 about to change dramatically with the anticipated finalization of the SEC’s enhanced standard of care applicable to broker-dealers.  At this program, attendees will be provided with expert analysis regarding today’s hot topics impacting the relevant regulatory framework, as well as practical considerations regarding the design and implementation of such programs. 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 initiative and developments regarding the SEC’s Uniform Standard of Care Initiative
  • 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?
  • 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. 

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.    

Advanced Prep: None

Credit Details