19 Jan 2021Ended

Demystifying the Current Landscape of Broker-Dealers Amidst the COVID-19 Pandemic: What You Must Know and Do


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Jan 2021
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The emergence of the COVID-19 pandemic presented a myriad of challenges to the broker-dealer industry. With this, the Financial Industry Regulatory .. Read more Authority (FINRA) established a COVID Fraud Task Force to monitor and mitigate potential fraud in the broker-dealer industry and U.S. markets. As the regulatory paradigm remains uncertain, brokerage firms must be wary and vigilant of potential risk issues. They must also keep themselves in the loop of emerging developments to avoid drawbacks. In a LIVE Webcast, a panel of key thought leaders and distinguished professionals assembled by The Knowledge Group will provide a comprehensive discussion of the recent trends and developments in broker-dealer regulation during the COVID-19 pandemic. Dunn has developed a specialty involving significant matters in the financial industry. We have extensive experience handling a variety of matters across the U.S. in the financial industry space.

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