BO09 - Supervision (or Lack Thereof) at Independent-Contractor Broker-Dealers

Date/Time: 
10/20/2017 - 11:00am to 10/20/2017 - 12:00pm
Room: 
West Ballroom AB
Date/Time: 
10/21/2017 - 11:00am to 10/21/2017 - 12:00pm
Room: 
West Ballroom AB

Broker‐dealers are required to supervise their reps, but in the "self‐regulatory" world, how they do that is largely up to them. In this session, we'll discuss how broker ‐dealers who use the independent contractor model approach supervision, and how you can use this information in your practice. As one panel member summed it up: indie supervision is often "terrible."