3h. BD - Institutional Firms Talk Group (CLOSED)
This interactive group discussion will focus on issues such as: managing the pace of regulatory change; best execution standards; identifying conflicts of interest; marketing to institutional accounts; gifts & entertainment with respect to institutional accounts; regulatory priorities; and remote supervision of sales and trading professionals, as such discussion topics relate to institutional broker-dealer compliance professionals. Attendees are encouraged to share their experiences and practices within this talk group.
This session is not eligible for continuing education credits. Seating is limited.
This session is closed to both regulators and members of the press.
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