Webinar Details:

Mon, October 7, 2013

SEC Rule 17Ad-17 is new for the Brokerage industry and compliance will take effect this coming January 2014. Is your company ready for the new requirements?

To help you firm prepare for the new requirements, Keane invites you to view the replay of our recent webinar – “SEC Rule 17Ad-17: Lost Securityholders and Unresponsive Payees.”

This webinar focuses on the foundation of SEC Rule 17Ad-17 and details the impact on the Brokerage and Variable Annuity Industries. Keane’s staff will also discuss the operational impact of Rule 17Ad-17 and review best practices for compliance.

Specific topics include:

  • A Review of SEC 17Ad-17 Requirements
  • Forecast for 2014 Compliance
  • Operational Concerns & Implementation Challenges for Brokerage & Annuities
  • Best Practices

Speakers & Presenters

Debbie L. Zumoff

Chief Compliance Officer

Michael Ryan

Senior Vice President

Bill Wallace

Consulting Manager

Nancy Kovala

Director of Abandoned Property
Ameriprise Financial

Diane Redvanly

Vice President
Morgan Stanley

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