The Beck Law Firm, LLC Blog: SEC to Host 2013 National Compliance Event for Broker-Dealers

Joel Beck

Joel Beck, a former NASD Department of Enforcement lawyer, formed The Beck Law Firm, LLC in 2007. Joel's practices focuses on three main areas: 1) broker-dealer and registered investment adviser regulation/compliance, regulatory investigations and enforcement actions, and arbitration cases, 2) business formations and small business legal needs, and 3) basic estate planning.

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The original works appearing on this page are the intellectual property of Joel Beck and The Beck Law Firm, LLC. Copyright 2007-2012.

I welcome comments on most postings, and like to keep the discussion going. Comments are moderated and will not post until publisher review. Comments that don't relate to the topics and subject matter of the blog, and seek only to provide links for other websites, will not not be published. The Beck Law Firm, LLC and Joel Beck are not responsible for contents of the published comments, and do not necessarily share the same views as the commenter.

The SEC's annual national compliance event is scheduled for April 9, 2013, at the SEC headquarters in Washington, DC. It will also be streamed on the SEC website. Registration for in-person attendance is limited, and is available online.

We help brokers and advisers across the country with their federal securities regulatory matters. To discuss your situation, contact Joel Beck at The Beck Law Firm. (678) 344-5342 or send an email to info @ thebeckfirm.com (Don't send any confidential information until we request it, and understand that the firm does not represent you until a written engagement agreement is signed).

UPDATED August 2012. Get Your Free Guide to Regulatory Investigations
Follow this link to get your free e-book, A Stockbroker's Guide to Regulatory Investigations, by attorney Joel Beck online at www.brokerdefender.com.