Crowe & Dunlevy will host the 2015 Securities Conference on Tuesday, December 1 at the Oklahoma City Golf & Country Club. Bruce W. Day and Tara A. LaClair, co-chairs of the Securities practice group, will present with representatives from the SEC, FINRA and Oklahoma Department of Securities.
Six years and nine months from the bottom of the March 2009 market crash, the stock markets have entered a stage of extraordinary volatility and are, even with recent declines, still at a record high due in part to the Federal Reserve’s policy decision to maintain record low interest rates. It is one of the most problematic and difficult times to render investment advice. The SEC, Oklahoma Department of Securities and FINRA have issued various alerts and policy statements regarding investment professionals’ responsibilities for their senior clients.
This program is intended to provide an overview for securities agents and investment advisors interested in protecting their clients and themselves during these uncertain times.