Broadcast Date: Wednesday, June 15, 2022
from 12:00 pm to 1:00 pm (ET)
Overview:
The Securities and Exchange Commission (SEC) has proposed an amendment on the recordkeeping requirements for broker-dealers. The new rule asks for the retainment of electronic records in an exclusively non-rewritable and non-erasable format which is also known as write once, read many (WORM). However, the proposal would only apply prospectively, creating burdens for financial organizations in keeping WORM records that have been in existence at the time of the rule adoption.
While these changes open opportunities and modernity for the decades-old requirements, they also pose further compliance hurdles particularly with dynamic records management. Thus, broker-dealers need to look closely at the latest developments surrounding these proposed regulatory changes.
Listen as experienced financial compliance professionals Robert Moreiro (Practus, LLP) and Debra Jenks (Jenks & Harvey LLP) provide a comprehensive discussion of the recent trends and developments surrounding broker-dealer regulation. Speakers, among other things, will offer practical compliance strategies in this ever-changing regulatory landscape.
Key issues that will be covered in this course are:
- Broker-Dealer Regulatory Trends and Developments
- Demystifying the SEC-Proposed Amendments
- Challenges and Pitfalls
- Effective Compliance Strategies
- What Lies Ahead
Credit:
Course Level:
Intermediate
Preparation:
Print and review course materials
Method of Presentation:
On-Demand Webcast
Prerequisite:
General knowledge of broker-dealer regulations
Course Code:
149869
NY Category of CLE Credit:
Areas of Professional Practice
Total Credit:
1.0 CLE
How to Claim CLE Credits Per State:
https://knowledgewebcasts.com/how-to-claim-cle-credits-per-state/
CLE State Requirements:
https://knowledgewebcasts.com/cle-state-requirements/
CPE State Requirements:
Speaker Panel:
Robert Moreiro, Partner
Practus, LLP
Robert has close to 20 years of considerable experience in financial services, advising registered investment advisers and broker-dealers regarding regulatory and compliance issues. With a deep understanding of the federal securities laws, Robert provides registered investment advisers, broker-dealers, and other financial institutions comprehensive and diverse services relating to all aspects of the federal securities laws, FINRA rules, and BSA/AML and OFAC regulations. He has represented registered investment advisers, broker-dealers, and individuals being examined, investigated, and prosecuted by the SEC, FINRA, other self-regulatory organizations and state regulators. He has assisted several clients in establishing SEC and state-registered investment advisers including drafting and filing all of the required documentation including creating the compliance program plus all applicable policies and procedures.
Debra Jenks, Partner
Jenks & Harvey LLP
Ms. Jenks has over 35 years of legal experience representing financial institutions, wirehouses, independent broker-dealers, insured broker-dealers, investment professionals, officers and directors, and financial advisers in retail, industry, and employment disputes as well as in compliance and regulatory matters. She defends registered persons and entities in regulatory matters. She has represented retail and institutional investors in securities matters and arbitration.
Agenda:
SEGMENT 1:
Robert Moreiro, Partner
Practus, LLP
- SEC 2022 Examination Priorities - Broker-Dealers (Reg BI, Customer Protection Rule and the Net Capital Rule, and AML)
- SEC Staff Statement Regarding Form CRS Disclosures
- SEC Risk Alert - Investment Adviser and Broker-Dealer Compliance Issues Related to Regulation S-P – Privacy Notices and Safeguard Policies
- SEC Risk Alert - Compliance Issues Related to Suspicious Activity Monitoring and Reporting at Broker-Dealers
- SEC Enforcement Cases - Broker-Dealers
SEGMENT 2:
Debra Jenks, Partner
Jenks & Harvey LLP
- 2022 FINRA Industry Snapshot – Data on the registered persons and member firms that FINRA regulates
- 2022 Report on FINRA’s Examination and Risk Monitoring Program – Somethings Old and Somethings New
- AML
- Cybersecurity & Technology
- Outside Business Activities and Private Securities Transactions
- Trusted Contact Persons
- Communications with the Public and Mobile Apps
Date & Time:
Wednesday, June 15, 2022
12:00 pm to 1:00 pm (ET)
Who Should Attend:
- Broker-Dealers
- Chief Compliance Officers
- VPs/Directors/Managers of Compliance
- General Counsel
- Internal Auditors
- Records Managers
- IT Managers
- Data Security Managers
| Image | Name | Summary | Price | Buy |
|---|---|---|---|---|
 | Antitrust 'No-Poach' Agreement Enforcement: Key Focus Areas in 2024 | CLE: 1.5 Credits | Broadcast Date: Check back for updates or Click Here and get notified of the new date | Price Includes CLE & Recording | $69.00 | |
 | Antitrust & IP Landscape: Navigating the Challenges of AI & Algorithm | CLE: 1.0 | Broadcast Date: Monday, December 9, 2024 from 12:00 PM to 1:00 PM (ET) | Price Includes CLE & Recording | $69.00 | |
 | Asbestos Litigation: Demystifying Trends, Developments, and Defense Strategies | CLE: 1.0 Credit | Broadcast Date: Thursday, May 26, 2022, from 12:00 PM to 1:00 PM ETÂ | Price Includes CLE & Recording | $69.00 | |
| Asbestos Litigation: What's Changing in 2024 and Beyond | CLE: 1.5 Credit | Broadcast Date: Tuesday, July 9, 2024, from 12:00 pm to 1:30 pm (ET)Â | Price Includes CLE & Recording | $69.00 | |
| Breaking Ground: Mastering Patent Eligibility in the Realm of ML, AI, and Software Innovations | CLE: 1.0 Credit | Broadcast Date: Monday, July 29, 2024, from 3:00 pm to 4:00 pm ET | Price Includes CLE & Recording | $69.00 | |
 | Cannabis Unleashed: Unveiling Legal and Business Fundamentals | CLE: 1.0 | Broadcast Date:Â Tuesday, June 4, 2024, from 12:00 PM to 1:00 PM (ET) | Price Includes CLE & Recording | $69.00 | |
| Cartel Investigations: A Blueprint for Defense | CLE: 1.5 Credits | Broadcast Date: Tuesday, May 21, 2024, from 12:00 PM to 1:30 PM ETÂ | Price Includes CLE & Recording | $69.00 | |
 | Class Action Litigation: A Comprehensive Guide to Recent Developments and Best Practices | CLE: 1.5 Credits | Broadcast Date: Thursday, August 8, 2024, from 12:00 PM to 1:30 PM (ET) | Price Includes CLE & Recording | $69.00 | |
| CLE Processing | Online Payment for CLE Processing | $35.00 – $150.00 | |
 | Cybersecurity Management: Best Practices in a Remote Environment | CLE: 1.5 Credits | CPE: 1.5 Credits (Not eligible for QAS (On-demand) CPE credit) | Broadcast Date: Thursday, April 22, 2021 from 12:00 pm to 1:30 pm (ET) | Price Includes CLE & Recording | $69.00 | |
 | Demystifying Economic Sanctions: Strategies for Success in a Global Economy | CLE: 1.0 Credit | Broadcast Date: Tuesday, May 14, 2024, from 12:00 pm to 1:00 pm ET | Price Includes CLE & Recording | $69.00 | |
 | Demystifying Recent Trends in PFAS Litigation: Product Liability and Beyond | CLE: 1.0 Credit | Broadcast Date: Wednesday, September 11, 2024, from 12:00 PM to 1:00 PM (ET) | Price Includes Recording | $69.00 | |
 | Executive Compensation: Hot Topics and Emerging Trends | CLE: 1.0 Credits| Broadcast Date: Monday, November 18, 2024, from 12:00 PM to 1:00 PM (ET)Â | Price Includes Recording | $69.00 | |
 | Hatch-Waxman Case-Law Developments and New Jersey Practice Insights | CLE: 1.0 Credit | Broadcast Date: Wednesday, October 23, 2024, from 12:00 PM to 1:00 PM (ET)Â | Price Includes CLE & Recording | $69.00 | |
 | Mastering the Art of Demonstrating and Recouping Lost Profit Damages: A Hands-On Guide | CLE: 1.0 Credit | Broadcast Date: Tuesday, November 12, 2024. from 12:00 PM to 1:00 PM (ET)Â | Price Includes CLE & Recording | $69.00 | |
 | Maximizing Your Innovation ROI: R&D Tax Credits in 2024 and Beyond | CLE: 1.0 CLE | 1.0 CPE (Not eligible for QAS (On-demand) CPE credit) | Broadcast Date: Thursday, March 28, 2024, from 12:00 PM to 1:00 PM ET | Price Includes CLE & Recording | $69.00 | |
| Navigating Challenges in Patent Damages Analysis: Key Considerations for Litigants and Counsel | CLE: 1.0 Credit | CPE: 1.0 Credit (Not eligible for QAS (On-demand) CPE credit) | Broadcast Date: Wednesday, December 13, 2023, from 12:00 pm to 1:00 pm (ET) | Price Includes CLE & Recording | $69.00 | |
 | Navigating Double Patenting in the USPTO Era of Rulemaking | CLE: 1.5 Credits | Broadcast Date: Tuesday, February 25, 2025, from 12:00 PM to 1:30 (ET) | Price Includes CLE Credits & Recording | $69.00 | |
 | Navigating Insurance Claims: Tips for Policyholders and Best Practices for Adjusters | CLE: 1.0 Credits | Broadcast Date: Thursday, May 9, 2024, from 12:00 PM to 1:00 PM ET | Price Includes CLE & Recording | $69.00 | |
 | Navigating the Evolving Patent Damages Landscape: Key Insights and Best Practices | CLE: 1.0 Credits | Broadcast Date: Thursday, June 27, 2024, from 12:00 PM to 1:00 PM (ET) | Price Includes CLE & Recording | $69.00 | |
 | Navigating the FTC's Final Rule on Noncompete Agreements: Critical Insights for Employers | CLE: 1.5 Credits| Broadcast Date: Wednesday, September 4, 2024, from 12:00 PM to 1:30 PM (ET) | Price Includes CLE Credits & Recording | $69.00 | |
 | New York Online CLE Bundle 2023 | This bundle allows you to complete 24 New York CLE credits. These courses are all on-demand and can be completed at your convenience.
| $199.00 | |
 | Preventing Ransomware Attacks: A Practical Guide to Enhancing IT Security and Resiliency | CLE: 1.5 Credits | Broadcast Date: Monday, September 13, 2021 from 12:00 pm to 1:30 pm (ET) | Price Includes CLE & Recording | $69.00 | |
| Speaker Preferred Package (Online Payment) | Speaker Preferred Package (for Credit Payment processing) | $599.00 – $799.00 | |
| Sponsorship | Online Payment for Sponsorship | $5,500.00 – $15,000.00 | |
| Supercharging Privilege Review With AI, Analytics, and Automation | CLE: 1.0 Credit| Broadcast Date: Friday, February 25, 2022 from 12:00 pm to 1:00 pm (ET) | Price Includes CLE & Recording | $69.00 | |
 | The Future of Insurance Claims: Using Generative AI to Combat Bad Faith | CLE: 1.5 Credits| Broadcast Date: Wednesday, December 18, 2024, from 12:00 PM to 1:30 PM (ET) | Price Includes CLE Credits & Recording | $69.00 | |
 | The Hows and Whys of Child Abuse Reporting: A Comprehensive Ethical Guide for Lawyers | CLE: 2.0 Credits | Broadcast Date: Wednesday, June 29, 2022 from 12:00 pm to 2:00 pm (ET)Â | Price Includes CLE & Recording | $69.00 | |
| The SEC’s New Pay Versus Performance Rule: 2024 Guidance for Companies and Investors | CLE: 1.0 | Broadcast Date: Wednesday, November 6, 2024, from 12:00 pm to 1:00 pm ET | Price Includes CLE & Recording | $69.00 | |
 | Trade Secrets, and What You Need to Know to Protect Them | CPE: 2.0 Credits | Broadcast Date: Thursday, December 5, 2024, from 12:00 PM to 2:00 PM (ET) | Price Includes CLE Credits & Recording | $69.00 | |
 | Trade Secrets: The New Frontier of Intellectual Property | CLE: 2.0 |CPE: 2.0 (Not eligible for QAS (On-demand) CPE credit) | Broadcast Date: Thursday, April 11, 2024, from 12:00 PM to 2:00 PM ET | Price Includes CLE & Recording | $69.00 | |
 | Understanding R&D Tax Credits and Amortization: Navigating Changes and Maximizing Benefits | CLE: 1.5 Credits | CPE: 1.5 Credits (Not eligible for QAS (On-demand) CPE credit) | Broadcast Date: Wednesday, August 30, 2023 from 12:00 PM to 1:30 PM (ET)Â | Price Includes CLE & Recording | $69.00 | |
| Unlocking Innovation: Navigating Patentability for ML, AI, and Software Inventions | CLE: 1.5 Credits | Broadcast Date: Monday, March 25, 2024, from 12:00 PM to 1:30 PM ET | Price Includes CLE & Recording | $69.00 | |
 | Winning Patent Litigation: Essential Strategies and Tactics | CLE: 1.0 Credit | Broadcast Date:Â Wednesday, April 25, 2024 from 12:00 PM to 1:00 PM ET | Price Includes CLE & Recording | $69.00 | |
 | Practical Trademark Perspectives from U.S. and Canadian Counsel | CLE: 1.5 Credits | Broadcast Date: Tuesday, September 28, 2021 from 3:00 to 4:30 PM ET | Price Includes CLE & Recording | $69.00 | |
 | Effectively Manage KYC Compliance: Keep Up with the Times by Getting Back to Basics | CLE: 1.0 Credit | Broadcast Date: Wednesday, August 11, 2021 from 3:00 PM to 4:00 PM ET | Price Includes CLE & Recording | $69.00 | |
 | OFAC Regulations and the Economic Sanctions Compliance Programs: Best Practices | CLE: 1.0 | Broadcast Date: Thursday, September 29, 2022 from 12:00 pm to 1:00 pm (ET) | Price Includes CLE & Recording | $69.00 | |
 | 'Zombie' LIBOR for USD Contracts: Navigating the Critical Issues | CLE: 1.0 Credit | CPE: 1.0 Credit (Not eligible for QAS (On-demand) CPE credits) | Broadcast Date: Wednesday, May 12, 2021 from 12:00 pm to 1:00 pm (ET) | Price Includes CLE & Recording | $69.00 | |
 | Calculating Lost Profits in Construction Claims: A Practical Guide | CLE: 1.0 Credit | CPE :Â 1.0 Credit (Not eligible for QAS (On-demand) CPE credits) | Broadcast Date: Monday, January 25, 2021 from 12:00 pm to 1:00 pm (ET) | Price Includes CLE & Recording | $69.00 | |
 | False Claims Act and COVID-19 Implications: Key Considerations and Best Practices | CLE: 1.0 Credit | CPE: 1.0 Credit (Not eligible for QAS (On-demand) CPE credits) | Broadcast Date: Wednesday, February 24, 2021 from 12:00 pm to 1:00 pm (ET) | Price Includes CLE & Recording | $69.00 |
Join Over 160,000 Professionals Empowering Their Careers
Learn anywhere from over 3000+ live and recorded CLE, CPE & Technology Webcasts.
