6-Hour Program

See Credit Details Below

Overview

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Why You Should Attend

This program will focus on the many significant developments in the regulation and oversight of broker-dealers. With a new administration, what regulatory changes can broker-dealers and the industry expect to see? Will there continue to be significant regulatory focus on cybersecurity, alternative trading systems and high-frequency trading, and wide-ranging equity market structure issues? What federal and state securities laws and federal commodities laws will the DOJ, SEC, CFTC, state regulators and FINRA be focusing on? This program brings together a distinguished faculty of regulators, industry experts and leading practitioners to discuss issues that will help you keep up with the changing landscape of the securities business and its regulatory oversight.

What You Will Learn

  • Current regulatory issues being addressed by the regulators
  • Current examination and enforcement priorities of the SEC, CFTC, SROs and state regulators
  • How the SEC, SROs and states fared over the past year in litigated matters
  • Major cases impacting broker-dealers
  • In-house lawyers’ and compliance officers’ regulatory and enforcement challenges, and their strategies and best tips for minimizing regulatory exposure

Who Should Attend

Attorneys and other professionals involved in securities, corporate, banking and finance, and insurance law; in-house counsel and compliance professionals, financial advisors, bankers and accountants; and those employed in supervisory positions throughout the financial services industry.

Credit Details