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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.

Sponsoring Section/Committee(s):




Elizabeth Vincensi


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