Please join ACA Compliance Group on May 14 at 2pm ET for a webcast workshop designed to assist compliance professionals of independent broker-dealers in dealing with both current and unique regulatory challenges. Our industry-knowledgeable panelists will discuss topics relevant to this specific type of firm.
Join us to hear from our speakers Thomas Grygiel, Principal Consultant, ACA Compliance Group, Meghan Carey, Partner, Murphy & McGonigle, and Carol Bell, Deputy Chief Compliance Officer, Cetera Investment Services.
Discussion topics include:
- Reg BI and State Fiduciary Activity
- Sales to Seniors/Vulnerable Adults
- 529 Sweep