Dually Registered Broker-Dealers and Advisers—Regulatory, Compliance and Enforcement 2019

February 6, 2019

Practising Law Institute (PLI)
New York, NY

Partner Cheryl Haas will speak at this course offering attendees 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.

What Attendees 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 

More information and registration details are available at the PLI website.