Minneapolis regulatory roundtable

Join Norton Rose Fulbright partners, Jeff Kalinowski and Jeff Ziesman, as they review regulatory and compliance hot topics affecting registered investment advisers and broker-dealers. This discussion will examine SEC and FINRA cases and releases from March 1, 2024 to present.

Schedule

8:00 am | Doors open, continental breakfast is served

9:00 am | CLE programming begins

11:15 am | CLE programming concludes

Continuing education

This program is pending 2.4 General CLE credits in Missouri and 2.0 General CLE credits in Minnesota, Kansas and Iowa.