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;
- 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.