HomeWebcastRegulatory and Enforcement Trends on Dually Registered Broker-Dealers and Advisers: Best Compliance Practices You Should
Dually Registered Broker-Dealers & Advisers '19 CLE CLE

Regulatory and Enforcement Trends on Dually Registered Broker-Dealers and Advisers: Best Compliance Practices You Should

Live Webcast Date: Wednesday, May 29, 2019 at 12:00 pm - 2:00 pm (ET)
Commercial/Consumer LawSecuritiesLive Webcast
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Add Reminder to My Calendar 05/29/2019 11:00 am 05/29/2019 2:00 pm America/New_York The Knowledge Group Webinar: Regulatory and Enforcement Trends on Dually Registered Broker-Dealers and Advisers: Best Compliance Practices You Should The event starts in an hour. If you have not registered, please go to the link below to sign up today.https://www.theknowledgegroup.org/checkout/?add-to-cart=127959\r\n https://www.theknowledgegroup.org/webcasts/dually-registered-broker-dealers-and-advisers-19/

Dually Registered Broker-Dealers & Advisers '19 CLE

In this LIVE Webcast a seasoned panel of thought leaders and professionals brought together by The Knowledge Group will provide and present an in-depth analysis of the fundamentals as well as recent developments in Regulatory and Enforcement Trends on Dually Registered Broker-Dealers and Advisers: Best Compliance Practices You Should. Speakers will also present all important issues surrounding this significant topic. Join us for this Knowledge Group Dually Registered Broker-Dealers & Advisers '19 CLE Webinar

Dually Registered Broker-Dealers & Advisers '19 CLE

Dually Registered Broker-Dealers & Advisers '19 CLE

Dually Registered Broker-Dealers & Advisers '19 CLE

Course Level:
   Intermediate

Advance Preparation:
   Print and review course materials

Method Of Presentation:
   Live Webcast

Prerequisite:
   NONE

Course Code:
   148201

NY Category of CLE Credit:
   Areas of Professional Practice

Total Credits:
   2.0 CLE

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About the Knowledge Group

The Knowledge Group

The Knowledge Group has been a leading global provider of Continuing Education (CLE, CPE) for over 13 Years. We produce over 450 LIVE webcasts annually and have a catalog of over 4,000 on-demand courses.

About the Knowledge Group

The Knowledge Group

The Knowledge Group has been a leading global provider of Continuing Education (CLE, CPE) for over 13 Years. We produce over 450 LIVE webcasts annually and have a catalog of over 4,000 on-demand courses.

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