Top Issues Facing Mississippi Investment Advisors in 2014

Securities Seminar for Mississippi Investment Advisors

Event
Tuesday, April 22, 2014
11:30 AM-1:00 PM CST

One Jackson Place
188 E. Capitol Street, Suite 400
Jackson, MS 39201

Join the attorneys of Bradley for a one-hour presentation which will focus on current regulatory trends and emerging compliance issues facing Mississippi Investment Advisors in 2014.

Speaker:

Michael Huggs is Director of the Mississippi Secretary of State Securities Division. He joined the Division in January 2001. He is a graduate of the University of Mississippi and a Certified Fraud Examiner. In addition to overall operations the Division, his duties include “routine” and “for cause” examinations of brokerage firms and investment advisers as well as conducting investigations of possible violations of the Mississippi Securities Act. In addition, Mike has actively participated in the Mississippi Secretary of State’s investor education programs as a speaker for the Jump Start Coalition “Money Matters” seminars, which promotes financial literacy to high school students. Mike serves as Chairman of the North American Securities Administrators Association Investment Adviser Operations Project Group. Prior to joining the Mississippi Secretary of State’s Office in January 2001, Mike worked in retail investments and commodities.

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