It’s Not Just FINRA and the SEC - Other Regulatory Agencies Require BD Attention
1:30 PM – 2:45 PM
Thursday, October 11
Speakers:
Jeff Abramczyk
This Session will discuss the rules, regulations and requirements broker-dealers may not be familiar with, offering some tips for compliance, policies and procedures as well as supervisory guidance. Attendees will obtain guidance in order to understand the influences of regulators whose rules, regulations and requirements broker-dealers now have to face. This session will cover:
- The U.S. Treasury (Foreign Corrupt Practices Act, FinCEN)
- U. S. federal laws (The FACT Act, signed into law in 2003)
- The Dodd-Frank Wall Street Report and Consumer Protection Act
- Jumpstart Our Business Startups Act
Back to the Agenda