Impact of Current State Regulatory Initiatives on Your Practice: “Speaking from the Other Side”
Don’t miss this Webinar on Tuesday, December 3rd from 2:00pm–3:00pm EST
Four former state securities regulators, who met while working together through NASAA, will discuss current state law initiatives. Join us to learn what you need to know for your practice or in-house compliance responsibilities.
Topics will include:
- The standards of care debate: Regulation BI, State and NASAA perspectives, State AG litigation, and what’s next
- State privacy and data protection laws
- Senior and vulnerable investors and Senior Safe Laws: the interaction between federal and state frameworks
- Early indications of a nascent NASAA regulatory initiative on continuing education for investment adviser representatives
A. Valerie Mirko
, Partner, Baker Mackenzie, Financial Regulation and Enforcement Practice Group (Former General Counsel, NASAA)
John Cronin, Vice President, Head of State Government Relations, LPL Financial (Former Division Director of the State of Vermont)
Carolyn Mendelson, Senior Compliance Consultant, Hardin Compliance Consulting, LLC (Former Assistant Counsel, Pennsylvania Department of Banking and Securities)
Keith M. Woodwell, Of Counsel, Clyde Snow & Sessions (Former Director of the Utah Securities Division)
Webinar participants will also receive a list of recent key state enforcement cases, new guidance and advisory positions, and additional relevant issues to consider in their compliance agendas.