Overview
of Key Rules and Recent Regulatory Developments Affecting BDIA
Sean Gray
Chief Compliance Officer
MERRILL LYNCH TRUST
COMPANY FSB
Plainsboro, New Jersey
Sean will provide and the attendees will be learn a practical overview
of Key Rules and Recent Regulatory Developments affecting Broker
Dealers and Registered Investment Advisors, e.g., focus on NASD Rules
3010/3012/3013, SEC Rule 206(4)-7, Review of Electronic Communications,
SEC/FINRA Exam Priorities and Common Findings etc.
