Broker-Dealer Outlook: Regulation, Exams, & Digital Assets
October 20, 2026Join our broker-dealer industry team for an informative webinar on recent regulatory, compliance, financial reporting, and digital asset developments affecting broker-dealers. We’ll explore current regulatory priorities, examination trends, and emerging issues that may impact your organization’s risk management, compliance, and financial reporting functions.
Learning Objectives
Upon completion of this program, participants should be able to:
- Identify key regulatory developments, notices from the Financial Industry Regulatory Authority (FINRA), and emerging SEC and FINRA rulemaking initiatives affecting broker-dealers and their potential impact on compliance programs and business operations.
- Recognize current examination priorities and regulatory focus areas to help strengthen risk management, governance, and compliance oversight processes.
- Explain recent developments in the digital asset ecosystem, including initiatives involving the Depository Trust Company, repo markets, real-world asset tokenization, and related custody considerations.
- Evaluate operational, regulatory, and risk management challenges related to the custody and administration of digital assets and tokenized financial products.
- Describe emerging trends in the tokenization of securities and financial products and possible implications for broker-dealer business models, regulatory obligations, and market infrastructure.
- Discuss significant accounting, auditing, and financial reporting developments issued by FASB, the SEC, and the PCAOB that may affect broker-dealer financial statements and reporting requirements.
- Apply insights from recent regulatory, digital asset, and financial reporting developments to support informed decision making within compliance, finance, and risk management functions.
CPE Information
Who’s This For
Delivery Method
Prerequisites & Advanced Preparation
None
Refund Policy
Program Level
Questions
If you have questions about this CPE program, please contact us at [email protected].
If you have concerns or would like information regarding program cancellation policies or CPE credit, contact us at [email protected].
Forvis Mazars, LLP is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: www.nasbaregistry.org.
Presenters
