SEC & FINRA Examinations of Broker-Dealers: Priorities & Hot Issues
Tuesday, Oct 08 2013
Tuesday, Oct 08 2013

Join senior SEC and FINRA staff responsible for broker-dealer regulatory examination programs, in-house counsel from institutional and retail broker-dealers, and regulatory counsel for a joint DC Bar and NYC Bar program where we will discuss current SEC and FINRA examination priorities and practical advice for exams and addressing hot issues. The program will video-link panelists and audiences in Washington, D.C. and New York to provide audience members with an opportunity to interact with SEC and FINRA staff and to seek practical insights from the in-house and law firm panelists.

New York, California & New Jersey Credit: 1.5 professional practice This live program provides transitional/non-transitional credit to all attorneys. Illinois & Pennsylvania Credit: To Be Determined


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