A Brief but Fascinating History of Securities Regulation

June 20, 2019 @ 3:00 Eastern

Join Securities guru Deirdre Patten of Patten Training & Review for a wild ride through the annals of Securities Regulation. In this FREE 1-hour educational webinar learn how to differentiate between the Act of '33 and the Act of '34. Impress your friends with deep knowledge of the regulation of primary and secondary markets! From MSRBs to CFTCs, from FINRA to NASAA, from U4 to U5, Deirdre will explain the process and the history of the regulation of financial markets with her distinctive and informative style.

Deirdre Patten, Patten Training & Review
Ms. Patten started her career in the securities industry in 1983, specializing in training and compliance. Over the past 35 years, she has worked with thousands of financial services professionals to help them successfully obtain their securities registrations. Ms. Patten has held various compliance positions with broker-dealers over the years including the positions of CCO, ROP and FINOP. In addition, Ms. Patten is a sponsor of the FINOP Exchange.

Ms. Patten has operated as a FINOP for over 9 years as well as General Securities principal for 20 years. She currently operates as CFO (FINOP) and Supervisory Principal, as well as CCO for several broker-dealers.

Watch for this icon for an activity that is approved for the Professional Development CE credit.

To receive the credit you must register and attend the event in entirety.

Posted in Webinars and tagged , .