P6 Broker Dealer Obligations with Regard to Dually Registered Brokers' RIA Services

Date/Time: 
10/29/2021 - 11:10am to 10/29/2021 - 12:10pm
Room: 
Talbot D-E/ Virtual

This session will explore a Broker-Dealer’s obligation to supervise the outside investment advisory services of its registered representatives. We will explore the rules that govern brokerdealers conduct and the ways in which broker-dealers try to defend against these types of cases.

This session will be recorded for replay by Members fully registered to attend the PIABA Annual Meeting.