District 2 – San Diego Half-Day Compliance Boot Camp

San Diego, CA
August 9, 2018

Agenda

8:30 a.m. – 9:00 a.m.

Registration

9:00 a.m. – 9:15 a.m.

Introduction

  • Welcome Remarks

9:15 a.m. – 10:45 a.m.

Session 1 – Social Media and Digital Communications Compliance

  • Discuss the content and supervision standards that apply to all electronic communications
  • Discuss guidance about social media sites and third-party information
  • Discuss case studies

10:45 a.m. – 11:00 a.m.

Break

11:00 a.m. – 12:30 p.m.

Session 2 – Supervision

  • Discuss highlights of the consolidated supervision rules
  • Discuss FINRA Rule 3110, including background information verification requirements
  • Discuss case studies

12:30 p.m. – 1:00 p.m.

Lunch and Networking Opportunity

1:00 p.m.

Adjourn