Complimentary for Members

On-Demand Self-Study

NYSED 1

Legal Update - Broker/Dealer Conference

On-Demand Self-Study
NYSED 1
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    Instructor

    Elizabeth
    Attanasio

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    Ms. Elizabeth Attanasio, CPA

    Bio
    Ms. Attanasio received a Bachelor’s Degree in Accounting from St. Johns University in 2001. She is a Certified Public Accountant, Financial Operations Principal (Series 27, 99), and Certified Anti-Money Laundering Specialist. She has had extensive training in public accounting and auditing for over 16 years at Broker Dealer oriented firms such as Rothstein Kass, Anchin, Block and Anchin, and WithumSmith+Brown. Ms. Attanasio is familiar with all facets of management and financial reporting and regulatory (SEC & FINRA) compliance. She has been a licensed FinOp for Broker Dealers for over 8 years and has acted as their Outsourced Chief Financial Officer. Ms. Attanasio is currently an active member of the Stock Brokerage Committee of the NYSSCPA, and a member of the AICPA and ACAMS. She also volunteers with Autism Speaks and is the Chairperson of her local Committee.
Learn about key litigation affecting brokers/dealers and the strategies that were employed to resolve issues. Our speakers will also share their views on the audit implications of recent legal cases involving brokers/dealers.

Learning Objectives

  • Upon completion of this course, you'll be able to:
  • Identify major legal cases currently affecting brokers/dealers and the outcomes or precedents set.
  • Examine resolution strategies used in litigation involving brokers/dealers and their effectiveness.
  • Evaluate the audit implications of recent legal developments and how they influence compliance and risk assessment practices.

Major Topics

  • Major legal cases currently affecting brokers/dealers and the outcomes or precedents set.
  • Resolution strategies used in litigation involving brokers/dealers and their effectiveness.
  • Audit implications of recent legal developments and how they influence compliance and risk assessment practices.

CPE Credits Available

NYSED 1
1
Specialized Knowledge / Industries (NYSED) - NYSED

Things to Know About This Course

Course Level

  • Update

Professional Area of Focus

  • Specialized Knowledge / Industries (NYSED)

Prerequisites

None

Advanced Preparation

None

Intended Audience

CPA’s who work in or are interested in the broker-dealer industry, non-CPA accountants and FinOps who service the broker dealer industry as well as legal professionals and regulatory professionals involves in the broker dealer industry.

Provider

Foundation for Accounting Education

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