Back to All Events

RSM and Sadis Goldberg Broker-Dealer Event

 

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.

Agenda

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

    • Suitability

    • 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!

Location

RSM US LLP

4 Times Square, 151 W. 42nd St.

19th Floor

New York, NY 10036

Cost

Complimentary

Co-Sponsor

RSM LOGO (00378513x9ED28).png
 

Questions?

Contact Jennifer Risi at +1 212 573 6677

 
Later Event: October 29
Business Breakfast Meeting