Cryptocurrency compliance — What should BDs and investment advisors know

The SEC and FINRA are racing to keep up with the pace of business now done on the internet. Both organizations are issuing a torrent of changes to rules covering topics such as exams, fiduciary standards, cybersecurity, and marketing. At the same time, there is a lot of information based on the current rules that advisors need to know. Come hear this panel to get up to speed as to what is coming, what you need to know now and how it all affects how you do business.

You will learn:

• The state of affairs regarding SEC and FINRA rule changes, and comments on the rule changes so far
• Current compliance matters firms need to address while we wait for guidance from regulators 
• How to get ready for the changes