District 4 - Kansas City - Half-Day Compliance Bootcamp Agenda
Minneapolis, MN
September 17, 2019
Agenda
8:30 a.m. – 9:00 a.m.
Registration
- Continental Breakfast
9:00 a.m. – 9:15 a.m.
Introduction
- Welcome Remarks
9:15 a.m. – 10:45 a.m.
Session 1 – Supervision
- Discuss highlights of the consolidated supervision rules
- Review the requirements of FINRA Rules 3110, 3120, and 3130
- Discuss case studies
10:45 a.m. – 11:00 a.m.
Break
11:00 a.m. – 12:00 p.m.
Session 2 – Outside Business Activities and Private Securities Transactions
- Review key requirements of the rules related to outside business activities and private securities transactions
- Discuss considerations for compliance
- Discuss processes for reviewing current outside business activities and private securities transactions
12:00 p.m. – 12:30 p.m.
Lunch and Networking Opportunity
12:30 p.m. - 1:30 p.m.
Session 2 – Outside Business Activities and Private Securities Transactions (cont’d)
- Learn about proposed Rule 3290
- Discuss case studies
1:30 p.m.
Adjourn