Before the Bell Breakfast Forum: Times are a changing!
Times are a changing: Matthew Curtis and Chad Hartwick, both of OFIR, are coming to Birmingham to tell us about developments in Investment Advisor regulation due to the new Michigan Securities Act and interim order, including IAR registration. They will also provide an update regarding the promulgated rules, present some highlights from the NASAA sweep conducted earlier this year, and touch on some best practices for Investment Advisors. Chad will be available for questions concerning broker-dealer and IA examinations.
7:15 AM - 8:30 AM
The Townsend Hotel
There is no cost to attend; space is limited to registered representatives, investment advisors and trust officers; advance reservations required.
248.267.3345 or email firstname.lastname@example.org