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Broker-Dealers Continued: Regulatory Reporting for Firms and Individuals

Tuesday, September 23, 2014 12:30 PM to 1:30 PM
Boston Bar Association - 16 Beacon Street, Boston, MA


Part II of a regulatory reporting discussion, the focus of this program will be regulatory reporting requirements under FINRA Rule 4530, Form U4, Form US and new FINRA Rule 3010(d). Panelists 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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