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Washington DC Compliance Roundtable: SEC Rule 17h: Risk Assessment and Recordkeeping Requirements Update for Broker Dealers
August 20 @ 1:00 pm - 2:00 pm CDT
This webinar will provide an interactive overview of the SEC Risk Assessment and Recordkeeping Requirements under Rule 17(h). The webinar will also share practical implementation advice, including the most recent changes to the Rule exempting certain broker-dealers from Rule 17(h). Our panelists are Marina Baranovsky of Scitus Consulting, LLC and Nicole Kalajian of Stradley Ronon. This webinar will be broadcast in a video mode and available for on-demand viewing for the registered participants after our live presentation.
To RSVP, click here.