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Broker-Dealer Law Update 2024

Recent regulatory activity by the U.S. Securities and Exchange Commission (SEC), proposed new rules, and what both could mean for broker-dealers in 2024

  • Product Number: 2240170P01
  • CLE Credits, earn up to:
    1 substantive credits, 0 ethics credits CLE Credit Note
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  • Product Description
  • Agenda & Materials
  • Faculty
  • Pricing
  • Product Description

    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

    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.

  • Faculty
  • Pricing

    Fees

    • $130.50 - MCLE Sponsor Member
    • $72.50 - New Lawyer
    • $72.50 - Pending Admittee
    • $72.50 - Law Student
    • $72.50 - Paralegal
    • $145.00 - All Others
    To apply for a need-based scholarship for this program, email scholarships@mcle.org.
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