4h. BD – Retail Firms Talk Group


This interactive group discussion will focus on issues such as identifying conflicts of interest, gifts & entertainment, Reg BI compliance, regulatory priorities, the impact of social media and remote supervision as they relate to Broker-Dealer compliance professionals of retail firms. Attendees are encouraged to share their experiences and learnings within this talk group. This session is not eligible for continuing education credits.

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Intermediate                        Program Level: Talk Group Date: November 8, 2021 Time: 3:30 pm - 4:45 pm Traci Spanier

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