Attendee(s): Carolyn Mendelson
Don’t miss this Webinar on Tuesday, December 3rd from 2 p.m.–3 p.m. EST. See event details.
Four friends and former state securities colleagues who met while working together through NASAA discuss current state law initiatives. The conversation will focus on what you need to know for your practice or in-house compliance work.
Topics will include:
• The standards of care debate: Regulation BI, state and NASAA perspectives, state AG litigation, and what next ….
• The standards of care debate: What should firms be monitoring at the state level?
• State Privacy and Data Protection Laws
• Senior and Vulnerable Investors and Senior Safe Laws: the Interaction between Federal and State Frameworks
• Early indications of a nascent NASAA regulatory initiative on continuing education for investment adviser representatives
In addition to tips from state securities experts, the webinar will provide participants with a list of recent key state enforcement cases; new guidance and advisory positions; and additional issues that firms must consider in their compliance agendas.