Please Note: This event has already taken place.
Broker-Dealers: Regulatory Reporting for Firms and Individuals
Monday, June 9, 2014
12:30 PM to 1:30 PM
Boston Bar Association - 16 Beacon Street, Boston, MA
This program will focus on the regulatory reporting requirements
under FINRA Rule 4530, Form U4, Form U5, and the new FINRA Rule 3010(d); the
program will also discuss the consequences of such filings including regulatory
inquiries from FINRA Enforcement, FINRA Office of Fraud Detection and Market
Intelligence, SEC Enforcement, state regulators, and law enforcement.
- Robert Andrew Buhlman
- Mark L. Keene
- Karen M. O'Toole
BBA Event Calendar