SEC, FINRA and Oklahoma Department of Securities present 2015 Securities Conference
Conference to provide review of regulatory policies intended to protect senior investors during current volatile market
The 2015 Securities Conference: “Volatile Stock Markets and Your Senior Clients,” marks the first time that U.S. Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA) and Oklahoma Department of Securities representatives will be in Oklahoma City presenting together. Speakers from each regulatory agency, along with attorneys from Crowe & Dunlevy and Conner & Winters, will present followed by a panel discussion.
The conference will provide an overview of the regulatory agencies’ focus on senior and retired investors and the policies governing securities agents, investment advisors, registered representatives and their compliance personnel. Sessions include discussions on current market volatility and interest rate risk, investment strategy recommendations and FINRA’s suitability rule, best practices and marketing to senior investors, and investor education, alternative investments, variable annuities and evaluating competency of retired and senior investors.
The conference will take place from 8:30 a.m. to 1 p.m. Tuesday, Dec. 1 at the Oklahoma City Golf & Country Club, 7000 N.W. Grand Blvd. The $70 registration fee ($300 per group of five) includes presentation materials, as well as complimentary breakfast and lunch. For more information and to register, visit www.crowedunlevy.com/conference.
Posted on Wed, November 18, 2015
by Crowe & Dunlevy