2g. BD/IA - Dual Registrants Talk Group (Small to Medium Firms) - (CLOSED)
This interactive group discussion will offer participant the opportunity to discuss issues such as identifying conflicts of interest, outside business activities, gifts & entertainment, Reg BI, new regulations, Enforcement issues, social media, and remote supervision as they relate to Broker-Dealer and Investment Adviser compliance professionals of small to medium-size retail firms. Attendees are encouraged to share their experiences and learnings 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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