Finra has announced it's annual conference topics. (Finra) FYI, if you can't make it down to Washington, you can live stream it for $700 (for non-members). (I have used the Finra streaming software before and it works well.)
Topics will include:
- Anti-Money Laundering
- Branch Office Inspections
- Business Continuity Planning
- Consolidated Audit Trail (CAT) and Large Trader Reporting
- Cyber Security
- Enforcement Developments
- Ethics for Securities Attorneys
- Examinations
- Financial and Operational Considerations
- Fraud Prevention
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- JOBS Act
- Municipal Securities
- Outside Business Activities
- Private Placements
- Retail Sales of Complex Products
- Small Firm Compliance Practices
- Social Media and Communications With the Public
- Suitability
- Supervision
- Technology Priorities for Broker-Dealers
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Detailed session descriptions can be found here.
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Topics:
FINRA,
streaming,
private placements,
litigation,
arbitration,
suitability,
complex products,
investments,
supervision,
Annual Meeting,
Complex Investments,
Compliance,
Dodd-Frank Act,
regulation.,
Complexity,
education
