Examining New FINRA Rule 3241: The Regulation of Brokers as Beneficiaries & Holders of Trust Positions for Customers

Join us for our next webinar, Examining New FINRA Rule 3241: The Regulation of Brokers as Beneficiaries & Holders of Trust Positions for Customers. Our panelists discuss the impact of new FINRA Rule 3241, including the making of reasonable assessments and determinations, potentially conflicting duties and obligations, supervisory challenges, and potential customer and employment litigation issues.

CLE credits approved in NY, and giving reciprocity credit to NJ, CA, and FL.

CLE credits pending in NC, TX and PA.