Related Content


PLI Broker/Dealer Regulation and Enforcement 2017

October 17, 2017

New York, NY

Partner Ghillaine Reid moderated a roundtable discussion at this event. This program focused on the many significant developments in the regulation and oversight of broker-dealers.

What Attendees Learned

  • 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

For more information please visit the event's website.