Attention:
Card image cap

Broker-Dealer Enforcement Trends: Exploring Regulatory Challenges and Compliance Issues


Level: Intermediate
Runtime: 58 minutes
Recorded Date: June 15, 2022
Click here to share this program
Printer-Friendly Version
Closed Caption

$75

Add to Cart

Agenda

Key issues that will be covered in this course are:
  • Broker-Dealer Regulatory Trends and Developments
  • Demystifying the SEC-Proposed Amendments
  • Challenges and Pitfalls
  • Effective Compliance Strategies
  • What Lies Ahead
Runtime: 58 minutes
Recorded: June 15, 2022

For NY - Difficulty Level: For both newly admitted & experienced attorneys

For NY - Difficulty Level: Both newly admitted and experienced attorneys

Description

The Securities and Exchange Commission (SEC) has proposed an amendment on the recordkeeping requirements for broker-dealers. The new rule asks for the retainment of electronic records in an exclusively non-rewritable and non-erasable format which is also known as write once, read many (WORM). However, the proposal would only apply prospectively, creating burdens for financial organizations in keeping WORM records that have been in existence at the time of the rule adoption.
While these changes open opportunities and modernity for the decades-old requirements, they also pose further compliance hurdles particularly with dynamic records management. Thus, broker-dealers need to look closely at the latest developments surrounding these proposed regulatory changes.
Listen as experienced financial compliance professionals Robert Moreiro (Practus, LLP) and Debra Jenks (Jenks & Harvey LLP) provide a comprehensive discussion of the recent trends and developments surrounding broker-dealer regulation. Speakers, among other things, will offer practical compliance strategies in this ever-changing regulatory landscape.

This program was recorded on June 15th, 2022.

Provided By

Card image cap The Knowledge Group
Card image cap

Panelists

Card image cap

Robert Moreiro

Partner
Practus, LLP

Robert has close to 20 years of considerable experience in financial services, advising registered investment advisers and broker-dealers regarding regulatory and compliance issues. With a deep understanding of the federal securities laws, Robert provides registered investment advisers, broker-dealers, and other financial institutions comprehensive and diverse services relating to all aspects of the federal securities laws, FINRA rules, and BSA/AML and OFAC regulations. He has represented registered investment advisers, broker-dealers, and individuals being examined, investigated, and prosecuted by the SEC, FINRA, other self-regulatory organizations and state regulators. He has assisted several clients in establishing SEC and state-registered investment advisers including drafting and filing all of the required documentation including creating the compliance program plus all applicable policies and procedures.

Card image cap

Debra Jenks

Partner
Debra A. Jenks, P.A.

Ms. Jenks has over 35 years of legal experience representing financial institutions, wirehouses, independent broker-dealers, insured broker-dealers, investment professionals, officers and directors, and financial advisers in retail, industry, and employment disputes as well as in compliance and regulatory matters. She defends registered persons and entities in regulatory matters. She has represented retail and institutional investors in securities matters and arbitration.

CLE CREDITS

Card image cap

Similar Courses

Card image cap
58 minutes
Accounting Fraud & SEC Investigations: Recent Enforcement Initiatives and Compliance Issues
As the SEC’s enforcement activities continue to ramp up and the regulatory landscape remains uncertain, businesses must stay updated and be well-versed on any grounds that would result in potential liability risks. Join experienced regulatory and compliance practitioners as they provide a comprehensive discussion on the recent SEC enforcement actions and considerations for fostering an ethical culture and reducing compliance risks. Speakers, among other things, will also offer best practices and effective compliance strategies amidst the ever-changing legal landscape.

The Knowledge Group

$75

Add to Cart

11 Credit States

More Details
Card image cap
60 minutes
Alternative Energy & Renewables
This session’s panelists, all of whom have experience in the renewable energy and power sectors, will discuss valuation and other relevant issues in the context of expanding alternative and renewable energy sources, and the pressures this expansion will have on the merchant power sector.

American Bankruptcy Institute

$75

Add to Cart

12 Credit States

More Details
Card image cap
60 minutes
An Administration Update on the New Regulatory and Enforcement Landscape
With the ushering in of a new administration, companies and their counsel will need to update their compliance measures to reflect the changing enforcement priorities of regulatory agencies, state Attorney Generals, and the DOJ. Hear from industry leaders to help you prepare for the upcoming changes and provide a road map for stress-free compliance.

Women, Influence & Power in Law Conference

$65

Add to Cart

11 Credit States

More Details
Card image cap
58 minutes
Analyzing the Latest Developments in Government Investigations and Enforcement
The SEC’s action of re-instituting the delegation of investigative enforcement authorities signals the potential for an uptick in both investigations and enforcement actions.

General Counsel Conference

$65

Add to Cart

11 Credit States

More Details
Previous Next