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SEC 2023: Looking back at key rules, regulations and risks

A year in review and compliance outlook


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As the year draws to a close, it's crucial for wealth management professionals to reflect on the dynamic regulatory landscape that shaped 2023. Join us for a webinar that delves into the key rules, regulations, and risks that left a lasting impact on our industry.

Don't miss this opportunity to enhance your regulatory knowledge and ensure your firm is well-positioned for success in 2024.

Why attend:

  • Gain a deeper understanding of the SEC's guidance and significant cases from 2023.
  • Stay ahead of the curve by identifying the rules to watch and their potential impact on your firm.
  • Prepare for regulatory examinations with insights into the SEC's Exam priorities.
  • Translate our findings into actionable compliance takeaways to strengthen your firm's readiness for the upcoming year.


Beth Haddock, Chief Compliance Strategist @ AdvisorEngine
Suleman Din, Advisor Intelligence Lead @ AdvisorEngine

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