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In the aftermath of the financial crisis and the resulting regulatory reform, the SEC has advanced significant rulemaking and enforcement to impose a greater degree of controls on investment advisers’ operations. In fact, the SEC has put the regulation of investment advisers under the microscope, establishing new rules related to adviser custody, political contributions and adviser disclosure and has retooled its adviser exam program.
At this program, attendees will get a solid foundation in the regulatory regime applying to investment advisers. Attendees will learn how the Investment Advisers Act of 1940 and state securities laws interact in governing the advisory industry.
A distinguished faculty will offer insights into recent developments, including the SEC’s adviser exam program and recent enforcement cases.
What you will learn
Steve Stone will present on Regulation of Advisers (Part II): Brokerage and Trading Practices.