2024 Broker Dealer Training

The 2024 NASAA Broker-Dealer Training will be held June 12-14, at the Hilton Fort Lauderdale Marina Hotel in Fort Lauderdale, Florida. Travel days for the training are Tuesday, June 11, and the afternoon of Friday, June 14, 2024.  We’re looking forward to seeing you again for a great few days of learning!

This year’s program will touch on issues related to books & records, expungement, and potential anti-money laundering issues/red flags to focus on during an examination.  First day general sessions will cover effective communications, the structuring of a private placement, and why we do what we do before concluding with a discussion on Regulation Best Interest and why it is important.  Several panels geared to newer examiners will cover the chronology of an examination from the pre-exam work to the on-site exam through the post-exam follow up.

The training will conclude on Friday with in-person attendees working through a case study that covers sales practice issues that came about during an examination that led to a NASAA muti-state investigation.

Click Here to View the Agenda

Click Here to Attend Virtually

Click Here for Reimbursement Information

We encourage anyone who is new to securities regulation to take the Fundamentals of State Securities Regulation training track prior to attending this training. 

To Register for This Meeting:

Step 1: Create an account or sign-in to www.nasaa.org.
Step 2: Below select your Registration Option.
Step 3: Answer a few questions and save your responses.
Step 4: Click "Proceed to Check Out."
Step 5: Enter payment information (if necessary).
We encourage you to pay by credit card, however if you wish to pay by check, please contact the NASAA office.

 

NASAA Members Only:

  • If NASAA is funding your trip, enter the appropriate Promotional Code at checkout:
  • If you are using a voucher: 2024Voucher
  • If you are a speaker: 2024Speaker
  • If you are committee funded: 2024Comm
  • If you are a Florida OFR attendee: 2024OFRBD
  • Then click "Apply."

Hotel Information:

  • Hotel and Registration Deadline: May 10, 2024
  • Hilton Fort Lauderdale Marina Hotel
  • 1881 SE 17th Street, Fort Lauderdale | Florida
  • The NASAA room rate of $199 plus taxes and fees is available until May 10, 2024.

Florida Office of Financial Regulation Staff Only:

  • For reservations call: (954) 463-4000 or reserve your room online.
  • The Florida room rate of $158 (tax-exempt) for Florida staff is available until May 10, 2024.
 
When
6/11/2024 - 6/14/2024
Where
Hilton Fort Lauderdale Marina Hotel 1881 SE 17th Street Ft. Lauderdale, FL

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