7i. BD - Retail Brokerage Issues Talk Group (CLOSED)

Tuesday
Written By Holly Orefice

This interactive group discussion will focus on issues relating to retail brokerages such as Reg BI, identifying conflicts of interest, regulatory priorities, and the impact of social media as they relate to Broker-Dealer compliance professionals.  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.

Featured
Tim Nagy
Tim Nagy

Partner

Mayer Brown LLP

Sponsored by

Holly Orefice
Previous

7h. ALL - Technology Challenges Talk Group (CLOSED)
Next

Dessert Reception with the Exhibitors (OPEN)