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SEC & FINRA Examinations of Broker-Dealers: Priorities & Hot Issues

October 8, 12:30 pm -2:00 pm

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

Member: $145.00 Nonmember: $255.00

Download Program Agenda & Faculty. Download Registration Form
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 City Bar
42 West 44th St
New York, NY 10036


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10/8/2013 12:30 PM
This program does not carry a book download option. Registrants will receive a complimentary hard copy of the course book. Please add the book to your cart. Your course book will be issued at the event.

12:30 PM - 2:00 PM