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

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.

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