Curriculum Bundle

Broker-Dealer Bootcamp

Get a crash course on Broker-Dealer Compliance with attorneys from Dechert LLP This Curriculum Bundle includes 4 courses
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Curriculum Description

In recent years, broker-dealers have experienced fundamental changes in the way they conduct their business, including through the growth of electronic order routing and execution, adoption of Regulation NMS, and the development of alternative trading systems. Another fundamental change in the way that broker-dealers conduct their retail businesses is on the horizon, as a result of the Securities and Exchange Commission’s proposed “best interest” standard of conduct for broker-dealers.

This four-part series explores the key regulatory issues applicable to brokers, which affect transactions in securities as agent on behalf of their customers, and “dealers,” which act as principal on one side of a securities transaction. The programs discuss the registration and regulation of broker-dealers under the federal securities laws and practical guidance for constructing a supervisory program for complying with a broker-dealer’s regulatory obligations.

Credit Information

This course is pre-approved for CLE credit in the following states. If your state is not listed, contact support for more information on how to receive credit

Alaska (CLE)
4 General
Arizona (CLE)
4 General
Arkansas (CLE)
4 General
California (CLE)
4 General
Connecticut (CLE)
4 General
Georgia (CLE)
4 General
Hawaii (CLE)
4 General
Illinois (CLE)
4 General
Minnesota (CLE)
4 General
Missouri (CLE)
4.8 General
New Jersey (CLE)
4.8 General
New Mexico (CLE)
4 General
New York (CLE)
4 Professional Practice
North Carolina (CLE)
4 General
Ohio (CLE)
4 General
Oregon (CLE)
4 General
Pennsylvania (CLE)
4 General
West Virginia (CLE)
4.8 General
Lawline reports attorney attendance in select states. View more about CLE reporting .

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