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Broker-Dealer Enforcement Trends: Exploring Regulatory Challenges and Compliance Issues


Level: Intermediate
Runtime: 58 minutes
Recorded Date: June 15, 2022
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Agenda

Key issues that will be covered in this course are:
  • Broker-Dealer Regulatory Trends and Developments
  • Demystifying the SEC-Proposed Amendments
  • Challenges and Pitfalls
  • Effective Compliance Strategies
  • What Lies Ahead
Runtime: 58 minutes
Recorded: June 15, 2022

For NY - Difficulty Level: For both newly admitted & experienced attorneys

For NY - Difficulty Level: Both newly admitted and experienced attorneys

Description

The Securities and Exchange Commission (SEC) has proposed an amendment on the recordkeeping requirements for broker-dealers. The new rule asks for the retainment of electronic records in an exclusively non-rewritable and non-erasable format which is also known as write once, read many (WORM). However, the proposal would only apply prospectively, creating burdens for financial organizations in keeping WORM records that have been in existence at the time of the rule adoption.
While these changes open opportunities and modernity for the decades-old requirements, they also pose further compliance hurdles particularly with dynamic records management. Thus, broker-dealers need to look closely at the latest developments surrounding these proposed regulatory changes.
Listen as experienced financial compliance professionals Robert Moreiro (Practus, LLP) and Debra Jenks (Jenks & Harvey LLP) provide a comprehensive discussion of the recent trends and developments surrounding broker-dealer regulation. Speakers, among other things, will offer practical compliance strategies in this ever-changing regulatory landscape.

This program was recorded on June 15th, 2022.

Provided By

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Panelists

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Robert Moreiro

Partner
Practus, LLP

Robert has close to 20 years of considerable experience in financial services, advising registered investment advisers and broker-dealers regarding regulatory and compliance issues. With a deep understanding of the federal securities laws, Robert provides registered investment advisers, broker-dealers, and other financial institutions comprehensive and diverse services relating to all aspects of the federal securities laws, FINRA rules, and BSA/AML and OFAC regulations. He has represented registered investment advisers, broker-dealers, and individuals being examined, investigated, and prosecuted by the SEC, FINRA, other self-regulatory organizations and state regulators. He has assisted several clients in establishing SEC and state-registered investment advisers including drafting and filing all of the required documentation including creating the compliance program plus all applicable policies and procedures.

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Debra Jenks

Partner
Debra A. Jenks, P.A.

Ms. Jenks has over 35 years of legal experience representing financial institutions, wirehouses, independent broker-dealers, insured broker-dealers, investment professionals, officers and directors, and financial advisers in retail, industry, and employment disputes as well as in compliance and regulatory matters. She defends registered persons and entities in regulatory matters. She has represented retail and institutional investors in securities matters and arbitration.

CLE CREDITS

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