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PRODID:-//westlegaledcenter/javamail EN
VERSION:2.0
METHOD:PUBLISH

BEGIN:VEVENT
UID:WLEC-Sat May 18 04:38:10 CDT 2013
TRANSP:OPAQUE
DTSTART:20120529T180000Z
DTEND:20120529T191500Z
LOCATION:http://westlegaledcenter.com
DTSTAMP:20130518T093810Z
ORGANIZER:OnlineCLE@westlegaledcenter.com 
CREATED:20130518T093810Z
LAST-MODIFIED:20130518T093810Z
FBTYPE:BUSY
SUMMARY:Live Program: Implementing SEC and FINRA Guidance on Branch Office
  Inspections 
DESCRIPTION:Already enrolled? Click below to view your current enrollments
  and start the program.\nhttp://westlegaledcenter.com/mycle/mycle.jsf?des
 tinationAfterLogin=loginRedirectToMyCLE\n\nWant to enroll? Click below to
  view the program details and add it to your shopping cart.\nhttp://westl
 egaledcenter.com/program_guide/course_detail.jsf?videoCourseId=47348062
 \n
\n\n\nImplementing SEC and FINRA Guidance on Branch Office Inspections
  \n\nDate: 05/29/2012 2:00 PM EDT\nDuration: 1 Hour , 15 Minutes\n\nDescr
 iption: \nThe SEC and FINRA recently issued joint guidance in a National 
 Exam Risk Alert to provide broker-dealer firms with information on develo
 ping effective policies and procedures for branch office inspections.  Th
 e two regulators have also conducted webinars to clarify the practices an
 d provide further guidance.   An effective branch examination program wil
 l not only satisfy regulatory expectations but should provide valuable in
 sight into a firm?s overall compliance program and can help the firms foc
 us their supervisory and compliance resources where they will add the mos
 t value.  This webinar will review the recent guidance and enforcement ac
 tions and provide practical techniques to implement the practices recomme
 nded therein. \n\n\n\nQuestions? Call 24-hour Tech Support at 1-800-495-9
 378.
SEQUENCE:0
CLASS:PUBLIC
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DESCRIPTION:Reminder
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