Half-Day Compliance Boot Camp Agenda - Atlanta, GA - July 12, 2018

Atlanta, GA
July 12, 2018

Agenda

8:00 a.m. – 8:30 a.m.

Registration

  • Continental Breakfast

8:30 a.m. – 8:45 a.m.

Introduction

  • Welcome Remarks

9:15 a.m. – 11:00 a.m.

Session 1 – Supervision

  • Discuss highlights of the consolidated supervision rules
  • Discuss FINRA Rule 3110, including background information verification requirements
  • Discuss case studies

11:00 a.m. – 11:15 a.m.

Break

11:15 a.m. – 12:15 p.m.

Session 2 – Suitability

  • Discuss rules and requirements governing suitability obligations, including the scope of investment strategies, the application of the rule to recommendations to hold and other important issues
  • Review and discuss FINRA guidance on key aspects of FINRA Rule 2111

12:15 p.m. – 12:45 p.m.

Lunch and Networking Opportunity

12:45 p.m. – 1:30 p.m.

Session 2 – Suitability (cont’d)

  • Discuss rules and requirements governing suitability obligations, including the scope of investment strategies, the application of the rule to recommendations to hold and other important issues (cont’d)
  • Review and discuss FINRA guidance on key aspects of FINRA Rule 2111 (cont’d)

1:30 p.m.

Adjourn