HomeWebcastHeightened Enforcement on Dually Registered Broker-Dealers and Advisers: Best Compliance Practices You Should Know
Online CLE Broker-Dealers CLE

Heightened Enforcement on Dually Registered Broker-Dealers and Advisers: Best Compliance Practices You Should Know

Live Webcast Date: Thursday, June 27, 2019 at 12:00 pm - 2:00 pm (ET)
CLE Securities LawLive Webcast
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Add Reminder to My Calendar 06/27/2019 11:00 am 06/27/2019 2:00 pm America/New_York The Knowledge Group Webinar: Heightened Enforcement on Dually Registered Broker-Dealers and Advisers: Best Compliance Practices You Should Know 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=122156\r\n https://www.theknowledgegroup.org/webcasts/dually-registered-broker-dealers-and-advisers/

Online CLE Broker-Dealers

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 Heightened Enforcement on Dually Registered Broker-Dealers and Advisers: Best Compliance Practices You Should Know. Speakers will also present all important issues surrounding this significant topic. Join us for this Knowledge Group Online CLE Broker-Dealers Webinar

Faculty

Online CLE Broker-Dealers
Meghan J. Carey
Attorney
Murphy & McGonigle

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Online CLE Broker-Dealers

Meghan J. Carey, Attorney
Murphy & McGonigle

Online CLE Broker-Dealers

Online CLE Broker-Dealers

Meghan J. CareyAttorneyMurphy & McGonigle

Online CLE Broker-Dealers

Course Level:
   Intermediate

Advance Preparation:
   Print and review course materials

Method Of Presentation:
   Live Webcast

Prerequisite:
   NONE

Course Code:
   148114

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.

Murphy & McGonigle serves the litigation, enforcement defense, and regulatory counseling needs of clients across the full spectrum of the financial services industry – from national banks, broker-dealers, investment advisers, and hedge funds, to national and international securities markets and exchanges. Many of the firm’s partners formerly served in senior positions in the SEC, US Department of Justice, FINRA, CFTC, and the New York State Department of Financial Services, and several served in senior executive positions in major financial institutions on Wall Street.

Website: https://www.mmlawus.com/

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