SEC Rule 17-h Webinar
Event Description

Join Regulatory Compliance for our live webinar:

Live Webinar: SEC Rule 17-h
Everything You Need to Know About
the SEC's Best Kept Secret

You think your firm does not have to disclose
sensitive financial information to the SEC? 

This applies to:

  • Broker-dealers (BD)
  • Registered investment advisers
  • Insurance companies
  • Mutual funds
  • Futures commission merchants
  • Bank-holding companies

Learning Objectives:

  • Overview of Rule 17-h for BD's and their affiliated organizations
  • SEC Enforcement
  • Exemptions and the Preston Letter
  • Intersections and implications of Dodd-Frank


  Marina Baranovsky
  Managing Member
  Scitus Consulting LLC

  Philip Dawicki
  Regulatory Compliance, LLC

Registration Instructions:

Click the Register Now button, follow prompts until you receive confirmation.  
Login link and phone number will be sent 24 hours prior to start time (with copy of slide presentation) from GoToWebinar (Citrix)

CPE Credits: 1.0 (application in progress)
Program Level: Basic