We hope you can join Baker Donelson for the Fall meeting of the Memphis-area Compliance Roundtable. Similar local events around the country offer the opportunity for professionals in the securities industry to gather to network and discuss current issues in the legal, regulatory and compliance world.
At this meeting we will discuss recent regulatory developments, including new cybersecurity requirements for broker-dealers and investment advisers as well as FINRA's new research rules.
Continuing Education Credit:
This program is eligible for one hour of Certified Securities Compliance Professional (CSCP) credit. It will be submitted for one hour of Continuing Legal Education (CLE) credit. One hour of CPE credit can be earned in the business law field of study at this event.
Baker Donelson is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: www.learningmarket.org.