Part 2: Broker Dealer Compliance Deep Dive: Beyond Registration — Operations, Marketing, AI, Reg BI, and Ongoing Oversight

Part 2 of this broker-dealer compliance series shifts from formation and registration into the operational realities of maintaining a compliant broker-dealer business over time. In this episode of Under the Basswood Tree, Jephte Lanthia and Erik Dolan discuss Regulation BI, investor protection obligations, communications and advertising oversight, AI-assisted compliance tools, examinations, vendor supervision, and continuing membership applications (CMAs).