Drinker Biddle cordially invites you to join partner Tracey Salmon-Smith for The Knowledge Group’s live webcast, “FINRA’s Crackdown on High-Risk Brokers: Recent Trends and Developments You Can’t Ignore” on Tuesday, December 11, 2018.
Registration is complimentary for the first 30 registrants. Once these spots are claimed, additional attendees may register for the discounted rate of $25 each. CLE credit is available.*
Date: Tuesday, December 11, 2018
Time: Noon–1:30 p.m. ET
Credit: If CE credit is needed, there is a minimal fee for processing. $125 for CLE processing in Virginia, $100 for CLE processing in Washington, $75 for CLE processing in Montana and South Carolina and for HRCI credit processing. $50 for CLE processing in the states not mentioned, CPE, SHRM and other CE credit processing. Late penalty fees for Illinois, Texas and Washington not included.
Questions? Please contact info theknowledgegroup.com
Guidance issued by the Financial Industry Regulatory Authority (FINRA) in April 2018 details when heightened broker-dealer oversight of associated persons may be necessary. As part of the guidance, FINRA has proposed regulatory amendments that tighten the restrictions on member companies employing brokers with histories of misconduct.
A panel of experienced professionals will provide an overview of FINRA’s guidance on high-risk brokers, and also discuss key topics including:
- Recent trends and changes in enforcement
- Overlap with state regulations
- Emerging pitfalls and risks
- Best practices for supervision and related compliance