transcript   Transcript

Examinations and Rulemaking Developments: Broker/Dealer Regulatory Update

Recorded on: Oct. 17, 2018
Running Time: 01:01:42

Full Transcript:

If you are a Privileged Member, just log in and start reading now! If you are not a Privileged Member, please click here to learn how unlimited access to PLI programs may be right for you and your firm.

To access the streaming media of this presentation, please purchase the corresponding seminar segment.

Taken from the Web Program Broker/Dealer Regulation and Enforcement 2018 Recorded October 2018 in New York

Examinations and Rulemaking Developments: Broker/Dealer Regulatory Update [01:01:42]

Panel will discuss recent regulatory developments that have been receiving examination and rulemaking attention. Topics will include:

  • Exam priorities:
    • Retail investors including electronic investment advice, costs of investing;
    • Senior investors and retirement investments, sales practices, FINRA Rule 2165;
    • Market wide risks, including Market Access Rule and Regulation SCI;
    • ICOs, crypto, and cyber;
    • Best execution: options and order routing
  • Current rule initiatives:
    • Regulation BI
    • Transaction Fee Pilot
    • CAT
    • FINRA Rulemaking

Moderator: Stephen Luparello
Speakers: Susan F. Axelrod, Stephanie M. Dumont, Andre E. Owens

The purchase price of this Web Program segment includes the following article from the Course Handbook available online:

  • Examinations and Rulemaking Developments: 2018 Broker/Dealer Regulatory Update
    Stephanie M. Dumont, Stephen Luparello, Susan F. Axelrod, Andre E. Owens
Susan F. Axelrod ~ Chief Supervisory Officer, Bank of America Merrill Lynch
Stephanie M. Dumont ~ Senior Vice President and Director of Capital Markets Policy; Office of General Counsel - Regulatory, FINRA
Stephen Luparello ~ General Counsel, Citadel Securities
Andre E. Owens ~ Wilmer Cutler Pickering Hale and Dorr LLP
Transcript FAQ's
  • How Can I Access Transcripts?
    You must be a Member in good standing.

  • Can I access the Video?
    Yes, you can access the video if you have the Adobe Flash plugin installed. Click on the video camera icon when you mouse over each paragraph. The media will begin playback at that point.

  • Can I get CLE credit for reading the transcript?
    No, CLE credit cannot be earned for reading a transcript. CLE credit is issued only for verified attendance while watching a web program. If seeking credit, please verify the program's eligibility for credit and expiration date in your jurisdiction on the web segment launch page before commencing the program.

  • twitter
  • LinkedIn
  • YouTube
  • RSS

All Contents Copyright © 1996-2019 Practising Law Institute. Continuing Legal Education since 1933.

© 2019 PLI PRACTISING LAW INSTITUTE. All rights reserved. The PLI logo is a service mark of PLI.