Product Description

Due to a speaker conflict, the live webcast and rebroadcasts of this program are being rescheduled. 

Regulatory scrutiny of broker-dealers continued to increase throughout 2023 and by all indications will continue to do so in 2024. In what appears to have become the “new normal” there is seemingly heightened sensitivity among regulators towards activities which previously would likely not have resulted in enforcement actions. The increase in enforcement actions coupled with proposed new rules for broker-dealers provides a framework for how regulators envisage the future of the industry. This new program provides you with insights into patterns of enforcement actions, the latest proposed rule changes, and what both mean for broker-dealers going forward.

Agenda & Materials

• What Is a Broker?

• Regulation Through Enforcement: What Does It Mean and How Is It Implemented?

• Electronic Communications and Record Keeping Best Practices

• Disclosure and Suitability Reminder: Recent ESG Enforcement Activity

• Proposed New Rules for Broker-Dealers

• Regulatory and Enforcement Forecast

• "Ask the Experts" Q&A Session and Key Takeaways

Please Note

MCLE webcasts are delivered completely online, underscoring their convenience and appeal. There are no published print materials. All written materials are available electronically only. They are posted 24 hours prior to the program and can be accessed, downloaded, or printed from your computer.

Chair

Faculty