Duff & Phelps’ Ken Joseph to Speak on A Live Webcast Discussing Current Issues Impacting Broker-Dealers and Dual Registrants in 2018 and Beyond

Calendar April 5, 2018

Ken C. Joseph, Duff & Phelps Managing Director and former Head of the Securities and Exchange Commission’s Investment Management Examination Program in the NY/NJ Region, is pleased to discuss "Current Issues Impacting Broker-Dealers and Dual Registrants in 2018 and Beyond” during a live webcast organized by the Knowledge Group. Among other relevant topics, the panelists will cover regulatory priorities, enforcement actions, the FINRA Arbitrations, and new and pending rule changes.

Time: 3:00 p.m. - 5:00 p.m. (EST)

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Key topics include:

  • The FINRA Arbitration Process

  • Risks of FINRA Disciplinary Action

  • New and Pending Rule Changes

  • Arbitrator Selection Considerations

  • Best Practices for Counsel

  • Federal regulatory focus on:

    • Compliance issues faced by dual registrants and the continuing shift from commissions to fee-based accounts

    • Suitability vs. fiduciary duty

    • Supervision of industry participants with disciplinary disclosures

    • Microcap offerings and the gatekeepers, including broker-dealers, who participate in those offerings

    • Use of data analytics to identify misconduct

    • Churning and other misconduct that victimizes retail customers

    • Cybersecurity and duty to protect customer information

    • Initial coin offerings and cryptocurrencies


  • Ken Joseph, Managing Director, Disputes and Investigations, Duff & Phelps

  • Pete Tepley, Partner, Rumberger Kirk & Caldwell

  • Heather B. Middleton, Attorney, Murphy & McGonigle

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