Kick off the fall season with RSM and Sadis Goldberg and come for an informative discussion and networking event that addresses FINRA hot topics for broker-dealers. Join us in Times Square to see New York at night and hear from our panel of industry leaders as well as gain informative insights from your colleagues and peers.
5:30 p.m. Registration and informal networking
6 p.m. Panel discussion:
FINRA 2019 exam priorities
FINRA hot topics for the broker-dealer division
Outside business activities and private securities transactions
Reasonable diligence for private placements
Broker-dealer custody of digital asset securities, FINRA rules
7 p.m. Networking, cocktails and appetizers
8 p.m. Closing remarks
We hope to see you there!
RSM US LLP
4 Times Square, 151 W. 42nd St.
New York, NY 10036
Contact Jennifer Risi at +1 212 573 6677