Outside Forces: Increasing Impact of Other Regulatory Agencies that B-Ds Must Deal With
1:15 PM – 2:30 PM
Thursday, May 17
SEC, FINRA, MSRB, DOL, CFTC, NFA, Treasury, States … a veritable alphabet soup of regulators have made business increasingly complex for broker-dealers in recent years. Congress has also entered into the fray with sweeping legislation such as the FACT Act and the Dodd-Frank Act.
This session will discuss the resulting rules and regulations, many of which broker-dealers may not be fully conversant, while offering tips for compliance, policies and procedures and supervisory guidance.
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