REGISTER - LIVE WEBCAST

Overview:

Broker-dealer regulations remain to be evolving and challenging. Scrutiny of anti-money laundering (AML) programs continues to be a top priority, as the U.S. Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) bring significant AML-related enforcement actions against member firms. Other challenges that confront legal and compliance practitioners include the intensified standard of conduct rules governing investment recommendations to retail clients and the emerging forms of trading platforms.

In a LIVE CLE Webcast, a panel of thought leaders and practitioners assembled by The Knowledge Group will discuss the significant and latest issues in broker-dealer regulation. Speakers will also offer practical compliance strategies and risk mitigation tips in today’s evolving legal climate.

Key topics include:

  • Recent Broker-Dealer Regulatory Developments
  • Notable Enforcement Actions – Takeaways
  • Addressing Current and Emerging Risks and Pitfalls
  • Best Compliance Strategies
  • An Outlook Under the Biden Administration

Credit:

Course Level:

Intermediate

 

Advance Preparation:

Print and review course materials

 

Method of Presentation:

Live Webcast

 

Prerequisite:

General knowledge of broker-dealer regulations

 

Course Code:

149682

 

NY Category of CLE Credit:

Areas of Professional Practice

 

Total Credits:

2.0 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/

Speaker Panel:

Meredith Jowers Lees, Partner
RumbergerKirk

Meredith Jowers Lees focuses her practice on commercial litigation, with extensive experience in securities and financial litigation. She has represented broker-dealers, including clearing brokers, in state and federal court and in FINRA arbitration in a wide variety of disputes including customer claims, employment disputes, member-to-member claims, fraud claims, suitability claims, churning claims, and trust-related claims.

Robert Moreiro, Partner
Practus, LLP

Stephen J. Huschka, Associate
Kessler Collins, P.C.

Stephen is an associate at Kessler Collins, P.C. where he represents clients in complex disputes, trials, and arbitrations. His practice primarily focuses on resolving shareholder, intellectual property, breach of fiduciary duty, and breach of contract disputes. In this role, Stephen has successfully represented companies, officers, directors, accountants, broker-dealers, and other professionals in venues scattered throughout the country. He also represents individuals and companies under investigation by governmental and non-governmental agencies.  In his practice, Stephen has consistently received recognition from his colleagues and opponents alike—being named a Rising Star for business litigation by Super Lawyers from 2019 through 2021.

Agenda:

Meredith Jowers Lees, Partner

RumbergerKirk

Robert Moreiro, Partner

Practus, LLP

Stephen J. Huschka, Associate

Kessler Collins, P.C.

Date & Time:

Tuesday, November 23, 2021

12:00 pm to 2:00 pm (ET)

A recording will be available to view 24-48 hours after the live date.

Materials:

Coming Soon.

Please check back again later.

Who Should Attend:

  • Broker-Dealers
  • Investors
  • Financial Advisers
  • Investment Advisers
  • In-House Counsel
  • Securities Lawyers
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SPEAKERS

Meredith Jowers LeesPartner
RumbergerKirk
Robert MoreiroPartner
Practus, LLP
Stephen J. HuschkaAssociate
Kessler Collins, P.C.

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