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What Are Regulators Thinking
Friday, May 18, 2018, 1:00 PM - 2:00 PM EST
Category: Webinars

Join Attorney Augusto ("Gus") Macedo of AMC Compliance, on Friday, May 18 at 1pm EST as he discusses the regulatory compliance landscape pertaining to your financial planning, and asset management practice. This webinar will cover several matters, including but not limited to the following:

1. Registration and Regulation of Advisers and Other Market Participants

2. SEC Examination Priorities

3. Trends in SEC Enforcement Activities

4. Current Regulatory Hot Button Issues.....

Register Here

The webinar has 1 CFP® Continuing Education credit pending.  The webinar is open to all advisors and financial services professionals. CFP® CE credits are limited to AAAA members only.  If you are not a AAAA member we encourage you to join by going to www.aaafainc.com.