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Thompson Hine LLP, a full-service business law firm with approximately 400 lawyers in 8 offices, was ranked number 1 in the category “Most innovative North American law firms: New working models” by The Financial Times and was 1 of 7 firms shortlisted for The American Lawyer’s inaugural Legal Services Innovation Award. The firm has been recognized by the National Law Journal as a Legal Technology Trailblazer and featured by Bloomberg for its innovative service delivery models, which drive accuracy and predictability. The firm’s commitment to innovation is embodied in Thompson Hine SmartPaTHTM – a smarter way to work – predictable, efficient and aligned with client goals. For more information, please visit ThompsonHine.com and ThompsonHine.com/SmartPaTH.

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Date: Tuesday, September 23, 2025 Time: 2:00 p.m. – 3:00 p.m. ET Location: Virtual Contact: Elise Hoffer, 513.352.6748, <a href="mailto:Elise.Hoffer@ThompsonHine.com?subject=IM Coffee Chat 9.23.2025">Elise.Hoffer@ThompsonHine.com</a>

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A&nbsp;webinar presented by Thompson Hine LLP

Beyond the Prospectus: Rethinking Securities in Modern Investing

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Join us for an afternoon break to chat about hot topics and trends relevant to your business. Our concise and practical discussions will focus on a variety of developments that impact financial service industries, and we’ll offer insights and considerations that will certainly be of interest to you.

Session Six: Navigating Choppy Waters: Broker-Dealers and the Shifting Regulatory Tide

Our session will focus on the latest regulatory and compliance challenges facing broker-dealers and investment advisers. Designed for compliance professionals, legal counsel, and business leaders, this program will explore key enforcement trends and regulatory priorities shaping the industry in 2025 and beyond.

SEC Reg BI Enforcement: Trends, common deficiencies, and risk mitigation strategies

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FINRA Priorities: Retail communications, digital marketing, crypto assets, and supervisory updates

Dual Registration Issues: Compliance challenges, conflict management, and best practices

Outsourcing Compliance: Risks, due diligence, and oversight of third-party providers

Fate of the PCAOB: Current audit oversight status and potential changes

Looking Ahead: Anticipated regulatory developments, building compliance culture, and training resources

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Moderator: <a href="https://www.thompsonhine.com/professionals/marc-b-minor/">Marc Minor</a>, Senior Counsel, Thompson Hine

<a href="https://www.thompsonhine.com/professionals/riccardo-m-debari/">Rich DeBari</a>, Partner, Thompson Hine

<a href="https://www.thompsonhine.com/professionals/brian-lanciault/">Brian Lanciault</a>, Partner, Thompson Hine

Investment Management Coffee Chat Series – Session 6: Navigating Choppy Waters: Broker-Dealers and the Shifting Regulatory Tide

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