Securities Industry Symposium: A Conversation on Current Trends and New Challenges

May 11, 2014 at 5:30pm
Fox Rothschild LLP, Collins Capital Investments, LLC and Rosenthal Recruiting
Stout NYC133 West 33rd Street
New York, NY 10001

With increased regulatory scrutiny, market and economic irregularities and aberrations, new compliance issues and the ever-present threat from cyberthieves, there are continual challenges facing those in the securities industry.

Join us for a high-level look at various hot topics, including:

  • A discussion of the current investment environment and market opportunities
    for advisors
  • An overview of FINRA and SEC Exam Priorities
  • A summary of the latest issues facing dual registrants
  • A discussion on the sale of private placements under Regulation D
  • An exploration of the latest cybersecurity and technology risks

Speakers:


Ernest E. Badway
Partner and Co-Chair of Securities Industry Practice, Fox Rothschild LLP

Joshua Horn
Partner and Co-Chair of Securities Industry Practice, Fox Rothschild LLP

Dorothy C. Weaver
Principal, CEO, Chair and Co-Founder, Collins Capital Investments, LLC