Back by popular demand is a rebroadcast of our standing room only 2015 Seminar.
Hot Topics in Broker-Dealer Audits
Insider Trading after the Newman Decision
The SEC’s Proposed Changes to Form ADV
Pitfalls of Trading Private Company Shares
Date: Wednesday, March 2, 2016
Time: 9:00 a.m. - 11:30 a.m. (pst)
To register please click here
Please Note: You must have...
Our seminar is coming up soon! This year the theme is Red Flag Seminar. The seminar will touch upon subjects of importance to individuals in the securities industry. We will hold the event at the Grand Hyatt New York on Grand Central Station on Thursday, October 24th. If you're not in New York on October 24th, you can catch the seminar from your computer. The seminar will also be hosted...
In November of 2011 BAI hosted 3 seminars on topics ranging from cyber liability, online marketing, tax updates for individuals and small businesses, and new ERISA rules. The seminar was a success due to the hard work of the seminar planning team and the outstanding delivery of speeches by the speakers.
Here are some pictures (please excuse the image quality of the photos!)...
BAI will be hosting another round of seminars in early November of 2011 in Newport Beach, Seattle, Stamford, and New York City.
The seminar will cover topics related to the business and regulatory environment. If you work in the financial services industry, you will want to mark your calendar for one of the following programs:
November 8 - Seattle, WA
November 10 - Newport Beach/Irvine, CA