In an effort to help you remain better informed of important regulatory topics that affect your business, and to assist you with solutions that help you address regulatory matters, Pershing invites you to join us for our next Compliance Forum Webcast to be held on Wednesday, December 11 from 2:00 p.m. – 4:00 p.m. (ET).
The agenda will include the following topics:
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Key Regulatory Compliance |
| – SEC Financial Responsibility Rules – SEC Rule 17Ad-17 Lost Securities Holders |
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Trading Compliance |
| – Regulation M and Regulation SHO Updates – Large Trader Update – New Enterprise Rules Engine Alerts – SEC Rule 506 Offerings: Disqualification of Felons and Other “Bad Actors” |
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AML Compliance |
| – AML Year in Review – Lesson’s Learned – OFAC Static Data |
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General Compliance |
| – Annuity Compliance |
In order to register and obtain dial-in information and a link to the webcast, please click here. A copy of the presentation will be shared with all registrants prior to the webcast.
Please share this invitation with associates in your firm who will benefit from participating in this webcast.