Welcome and Opening Remarks
2:00 p.m. – 2:10 p.m.
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Christopher W. Gerold
NASAA President
New Jersey Bureau of Securities
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Robert Cook
President & CEO
FINRA
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Commissioner
Allison Lee
U.S. Securities & Exchange Commission
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Regulator Responses to Registrants
2:10 p.m. – 2:45 p.m.
In this session, regulators will describe the relief and guidance provided to date to registrants, including issuers, investment companies, broker-dealers, investment advisers and associated individuals. Each regulator will describe its efforts to date and issues raised by registrants. Discussion should center around what further steps could or should be taken.
Break
2:45 p.m. – 2:50 p.m.
Examination Issues
2:50 p.m.– 3:25 p.m.
In this session, regulators will describe the challenges of scheduling and conducting examinations in the current environment, including handling cause examinations and limitations on physical visits. Another focus of this session will be plans to examine compliance with Regulation Best Interest, including discussions of OCIE’s recent risk alerts, NASAA’s registrant survey and examination plans, and FINRA’s readiness efforts.
Protecting Investors
3:30 p.m. – 4:05 p.m.
In this session, regulators will describe enforcement actions, surveillance efforts, noticed trends, investor complaints and concerns about what forms of fraud may emerge. Another focus will be on mutual efforts to educate investors regarding market conditions and to be wary of frauds. Discussion should focus on ways to collaborate further.
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