HomeWebcastTrends, Developments and Updates in the Broker-Dealer Regulation: What to Expect in 2019 and Beyond
Securities Law CLE

Trends, Developments and Updates in the Broker-Dealer Regulation: What to Expect in 2019 and Beyond

Live Webcast Date: Friday, February 22, 2019 at 12:00 pm - 2:00 pm (ET)
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Add Reminder to My Calendar 02/22/2019 11:00 am 02/22/2019 2:00 pm America/New_York The Knowledge Group Webinar: Trends, Developments and Updates in the Broker-Dealer Regulation: What to Expect in 2019 and Beyond 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=101409\r\n Broker-dealers are faced with a robust regulatory environment where regulatory focus is constantly changing and new rules are implemented.  Practitioners must stay abreast of the issues and new developments to improve compliance and to mitigate unwanted risk. \n \nListen as a panel of distinguished professionals organized by The Knowledge Group provide the audience with the latest and emerging issues in broker-dealer regulation. Speakers, among other things, will discuss opportunities and challenges, provide practice tips and make predictions on what to expect in the years ahead. \n \nKey issues that will be covered in this course are: \n \n \n New FINRA Self-Reporting Initiative 529 Plans \nNew and Pending Rule Changes \n High Risk Brokers and Supervisory Issues \n Senior Investors \n Suitability \n Best Execution and Fixed Income Mark-up \n Regulation Best Interest \n Issues Involving Dual Registrants \n Cybersecurity \n Exam Priorities \n https://www.theknowledgegroup.org/webcasts/updates-in-the-broker-dealer-regulation/
Launch Webcast

Broker-dealers are faced with a robust regulatory environment where regulatory focus is constantly changing and new rules are implemented.  Practitioners must stay abreast of the issues and new developments to improve compliance and to mitigate unwanted risk.

Listen as a panel of distinguished professionals organized by The Knowledge Group provide the audience with the latest and emerging issues in broker-dealer regulation. Speakers, among other things, will discuss opportunities and challenges, provide practice tips and make predictions on what to expect in the years ahead.

Key issues that will be covered in this course are:

  • New FINRA Self-Reporting Initiative 529 Plans
  • New and Pending Rule Changes
  • High Risk Brokers and Supervisory Issues
  • Senior Investors
  • Suitability
  • Best Execution and Fixed Income Mark-up
  • Regulation Best Interest
  • Issues Involving Dual Registrants
  • Cybersecurity
  • Exam Priorities

Who Should Attend

  • Broker-dealers
  • Investors
  • Financial Advisers
  • Investment Advisers
  • Banking and Finance Professionals
  • Risk and Compliance Officers
  • In-house Counsel
  • Securities Attorneys
  • Securities Lawyers
  • Other related professionals

Faculty

Heather B. Middleton

Heather B. Middleton
Partner
Murphy & McGonigle

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John Ivan, Managing Director
Capital Forensics, Inc.
  • Data Analytics and Supervisory Controls in Topics Covered
  • Exam Priorities FINRA’s new Risk Approach
  • Regulatory Technology and Data Governance
  • FINRA’s new 529 Plan Self Reporting Initiative NTM 19-04

Debra A. Jenks, Partner/Shareholder
Jenks & Harvey LLP
  • FINRA’s continued focus on risks related to associated persons with a problematic regulatory history and FINRA’s enhance examination program to evaluate how firms address these risks in their hiring practices and supervision programs:
    • Notice to Members 97-19 (providing certain hiring practices when considering for employment an associated person with a history of customer complaints, disciplinary actions or arbitrations from the securities industry);
    • Regulatory Notice 18-15 (listing the kinds of industry and regulatory-related incidents that firms should consider, and highlighting that statutorily disqualified persons and persons who have been disciplined in disciplinary proceedings raise significant investor protection concerns);
    • Regulatory Notice 18-06 (Membership Application Program)
  • Sales Practice Risks – Suitability (Regulatory Notice 18-13 Quantitative Suitability);
  • Sales Practice Risks - Senior Investors; and
  • Outside Business Activities and Private Securities Transactions.

Clint A. Corrie, Partner
Lewis Brisbois
  • Update on Regulation Best Interest
  • Best Execution Rule
  • Exam priorities regarding supervision issues
  • Dual Registration Issues  update

Heather B. Middleton, Partner
Murphy & McGonigle
  • FINRA changes to expungement rules
  • Advisor texting and social media
  • Fixed income mark-up disclosure
  • Cybersecurity

Heather B. Middleton

Heather B. MiddletonPartnerMurphy & McGonigle

Heather Middleton focuses her practice on defending Wall Street brokerage firms and their employees in FINRA arbitrations, civil court matters, regulatory inquiries and government investigations.  Recent cases have included disputes between firms and their employees, customer complaints, trading desk and market access violations, research department issues and a broad range of related sales practice issues.  Prior to practicing law, Ms. Middleton worked at Merrill Lynch for more than 10 years where she gained invaluable experience with trading, portfolio management, various investment vehicles, branch operations and securities regulations.  Heather is admitted to practice in New York and New Jersey.  She handles community service and charitable giving efforts in Murphy & McGonigle’s New York office.

Course Level:
   Intermediate

Advance Preparation:
   Print and review course materials

Method Of Presentation:
   Live Webcast

Prerequisite:
   General knowledge of securities regulation

Course Code:
   147733

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, founded in 2010, was created based on an innovative law firm model that rigorously controls overhead while providing its attorneys and clients with state-of-the-art technology and litigation support to ensure both world-class service and maximum cost-efficiency.  In the years since the financial crisis, that model has become increasingly attractive for clients in the financial services industry which has driven the rapid growth of the law firm.

For the fifth year in a row, U.S. News & Best Lawyers selected Murphy & McGonigle as a National Tier One Law Firm. This year, we were honored in Securities Regulation, Litigation – Securities, and Corporate Law. Only 25 firms received National Tier One recognition in all three areas with Murphy & McGonigle as the youngest and smallest firm among those 25 listed, by far.

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.

Website: http://www.mmlawus.com/

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