Dually Registered Broker-Dealers and Advisers—Regulatory, Compliance and Enforcement 2021

Partner Cheryl Haas will speak at this course offering attendees 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 Attendees 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

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