Kimberly A. Koves To Participate On Panel Discussing Broker-Dealer Supervisory Obligations Relating To Dually Registered Brokers’ Advisory Services At PIABA Annual Meeting On October 29
Guerra King shareholder Kim Koves will participate on a panel discussing broker-dealer supervisory obligations with respect to dually registered representatives’ advisory services at the Public Investors Advocate Bar Association’s (PIABA) annual meeting and securities law seminar in Amelia Island, Florida at the end of October. The panel, titled “Broker-Dealer Obligations with regard to Dually Registered Brokers’ RIA Services,” will review applicable rules governing the supervision of registered representatives’ outside investment advisory services and discuss the scope of broker-dealers’ supervisory obligations to its dually registered brokers. The panel will include other experienced securities practitioners from across the country.
For more information, please contact Kim Koves at (813) 347-5111 or email@example.com.