February 1, 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
More information and registration details are available at the PLI website.