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

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

  • 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.

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