Speaker – FSX Conference: Washington, DC

I was a speaker at the FSX Conference in Washington, DC.

The session was for broker dealer Members and various issues that effect broker dealers were discussed including:

  • The new Suitability Rule effective July 9, 2012;
  • Crowdfunding;
  • General compliance and day-to-day operations of a broker dealer.

As always, attendees received practical real advice as well as a suitability worksheet and sample Written Supervisory Procedures (WSPs) relating to the Suitability Rule.

This is a great conference with a group of friendly broker dealers and I look forward to attending more of them.

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