The proposed sixty-minute CLE course will cover the areas that the Securities and Exchange Commission (“SEC”) and Financial Industry Regulatory Authority (“FINRA”) are focused on with respect to broker-dealers and investment advisers. The areas of focus were determined by regulator statements in their examination priorities, recent enforcement and litigation matters brought by the regulators, and trends observed by the CLE course presenters.
For additional information, please email Mary Lynn Stoffel at [email protected].
