Red Flags 2015: Broker-Dealer and Investment Adviser Hot Topics

On November 5, Day Pitney hosted a complimentary seminar and breakfast called “Red Flags 2015: Broker-Dealer and Investment Adviser Hot Topics” in the New York office. The event, which was co-sponsored by Breard & Associates, Inc. (Certified Public Accountants) and RegMaven, Inc. drew in a crowd of over 50 attendees. Hank Nelson Massey, Eliza Sporn Fromberg, Richard Harris, Robert Appleton and David Elliot all spoke at the event. They discussed topics including broker-dealer audits, insider trading after the Newman decision, the SEC’s proposed changes to Form ADV, the pitfalls of trading private company shares and cybersecurity.