Broker-Dealer Regulatory Update
November 21, 2013
1:00 PM – 3:00 PM ET
This session will provide you with a virtual, real-time briefing on recent and pending regulatory developments, the possible implications for your firm, and the new challenges and best practices that should be on your radar screen.
More specifically, this session will focus on the new FINRA Rules 2111 (Suitability) and 2090 (Know Your Customer), which will be effective on July 9, 2012.
Other broker-dealer hot topics to be addressed include:
- Increased emphasis on branch office regulatory reviews;
- The new broker-dealer self-reporting rule and how to decide when to report;
- The increasing impact of other regulatory agencies that broker-dealers must deal with
- Other significant broker-dealer developments
After attending this course, attendees should be able to:
- Discern how your firm can accomplish the requirements of the new FINRA Suitability and Know Your Customer Rules and how to document the accomplishment
- Utilize the update on and analysis of Congressional, FINRA and SEC regulatory initiatives to help you and your firm prepare
- Define the potential impact of regulatory reform on broker-dealers
- Apply practical advice on preparing for and grappling with today's shifting regulatory environment and its uncertainties
- List the compliance issues currently stamped "high-priority" and determine which regulatory developments affect your firm
- Develop risk management strategies that address SEC and FINRA priorities
For Whom: Designed to increase the professional competency of broker-dealer professionals with legal, compliance and management responsibilities.
Suggested Skill Level: Intermediate
Instructional Method: Group Internet-Based
Pre-requisites for participation: The pre-requisite for participation is a basic understanding of definitions and concepts arising under the Securities Act of 1933 and the Securities Exchange Act of 1934.
Advance Preparation: None
Order this Desktop on Demand