Regulatory and Compliance Hot Topics for Broker-Dealers and Investment Advisers

On Wednesday, February 1, Bressler's Angela Turiano, Sean Coughlin, and Joseph Calabrese presented a CLE webinar. Their program, titled Regulatory and Compliance Hot Topics for Broker-Dealers and Investment Advisers, discussed communications on unapproved devices, use of social media, SEC's new marketing rule, Reg BI, and cybersecurity.

*General CLE credit has been applied for in New York, Pennsylvania, Texas, and North Carolina. Reciprocity credit will be given to California, Florida, and New Jersey.