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PLI Broker/Dealer Regulation and Enforcement 2017

Tuesday, October 17, 2017

New York, NY

Join Partner Ghillaine Reid as she moderates a roundtable discussion at this event. This program will focus on the many significant developments in the regulation and oversight of broker-dealers.

What Attendees 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.

For more information and registration please visit the event's website.