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

February 1, 2021

Practising Law Institute (PLI)


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.