This program has already taken place, but you can still catch up on
what you missed!
Visit the CLE
purchase a CLE Materials Set, which includes online access to the recorded
course presentation and a copy of the course book.
If you need CLE Credit, please click
Don't miss this exclusive opportunity to learn about the 2014 examination
priorities from the SEC, CFTC, FINRA, and the NFA! Hear about the issues
compliance professionals should be educated about straight from the
I. SEC Examination Program Updates and Priorities from Michael
Garrity, Associate Regional Director for Examinations, Securities &
II. FINRA Examination Program and Priorities from Todd
Coppi, Assistant Director, Boston District
III. CFTC Examination Program and Priorities from Paul Hayeck,
Associate Director, Division of Enforcement, U.S. Commodity Futures Trading
Commission (pending confirmation)
IV. NFA Examination Program and Priorities from Jennifer Sunu,
Director of Compliance, National Futures Association
BBA Member -
Non-Member - $170.00
BBA Member - Legal Services/ Government
Lawyer - $70.00
Law Student - $30.00
If the cost of this seminar would preclude you from attending, please
contact us about tuition discounts.If the cost of this seminar would
preclude you from attending, please contact us about tuition
Materials: It's so easy to be
green! The BBA offers
registrants CLE course materials in both electronic and print format.
Please remember to select your option during registration. If you opt for
the electronic version, a PDF link will be email to you prior to the seminar. We
encourage laptops and portable devices at the seminar, Free WiFi is available in
all conference rooms!