Navigating Choppy Waters: Broker-Dealers and the Shifting Regulatory Tide

Join us for an afternoon break to chat about hot topics and trends relevant to your business. Our concise and practical discussions will focus on a variety of developments that impact financial service industries, and we’ll offer insights and considerations that will certainly be of interest to you.

Tuesday, September 23
2:00 – 3:00 p.m. ET

Session Six: Navigating Choppy Waters: Broker-Dealers and the Shifting Regulatory Tide

Our session will focus on the latest regulatory and compliance challenges facing broker-dealers and investment advisers. Designed for compliance professionals, legal counsel, and business leaders, this program will explore key enforcement trends and regulatory priorities shaping the industry in 2025 and beyond. 

Our speakers will address:

  • SEC Reg BI Enforcement: Trends, common deficiencies, and risk
    mitigation strategies
  • FINRA Priorities: Retail communications, digital marketing, crypto assets, and
    supervisory updates
  • Dual Registration Issues: Compliance challenges, conflict management,
    and best practices
  • Outsourcing Compliance: Risks, due diligence, and oversight of
    third-party providers
  • Fate of the PCAOB: Current audit oversight status and potential changes
  • Looking Ahead: Anticipated regulatory developments, building compliance culture, and training resources

Moderator: Marc Minor, Senior Counsel, Thompson Hine

Panelists: 

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