June 25, 2012 at 1:00 PM (duration 08:00)
Watch Fundamentals of Broker-Dealer Regulation 2012 Event Streaming Online
Major changes in broker-dealer regulation and the industry have come about as a result of the financial services crisis and the resulting regulatory reform. At the same time, FINRA continues to overhaul its rulebook as part of its Rulebook Consolidation process. This program will provide attendees with a solid foundation in the regulatory regime applying to broker-dealers, including what to expect next regarding broker-dealer regulation. Attendees will learn how the Securities and Exchange Act of 1934, FINRA rules and state securities laws interact in governing the brokerage industry.Attendees will also learn about recent regulatory enforcement activity by the SEC, FINRA, and the States and about how broker-dealers are responding to these developments and the challenges ahead for the industry.A distinguished faculty will offer insights into recent rulemaking that is having far-reaching impact on the day-to-day operations of firms.