This program will cover recent developments in the regulation of broker-dealers and investment advisers. The presenters will discuss areas of focus for the SEC and FINRA, including Regulation Best Interest and Artificial Intelligence, as well as supervision and enforcement trends for both broker-dealers and investment advisers.

WilmerHale has been accredited by the New York State and California State Continuing Legal Education Boards as a provider of continuing legal education. This program is being planned with the intention to offer CLE credit in California and non-transitional credit in New York. This program, therefore, is being planned with the intention to offer CLE credit for experienced New York attorneys only. Attendees of this program may be able to claim England & Wales CPD. WilmerHale has been approved as a Colorado Certified Provider, as recognized by the Colorado Supreme Court Continuing Legal and Judicial Education Committee. We will apply for Colorado CLE (after the program) if requested. The type and amount of credit awarded will be determined solely by the Colorado Supreme Court. WilmerHale is not an accredited provider IL or NC CLE, but we will apply for IL and NC CLE (after the program) if requested. The type and amount of credit awarded will be determined by the Supreme Court of Illinois and North Carolina State Bar. New Jersey grants reciprocal credit for programs that are approved in New York. We can also issue Connecticut credit. All attendees, regardless of jurisdiction, will receive a uniform certificate of attendance that shows the states in which the program was approved. Attendees who need credit in another jurisdiction can use the uniform certificate of attendance to self-apply. CLE credit is not available for on-demand webinar recordings. 

For additional information, please email Mary Lynn Stoffel at [email protected].