Event: Broker/Dealer Regulation and Enforcement 2017 (NY)

Event: Broker/Dealer Regulation and Enforcement 2017 (NY)
Date: 2017-10-17
Details: Oct. 17: "Broker/Dealer Regulation and Enforcement 2017," sponsored by the Practising Law Institute, will be held in New York, NY at PLI New York Center. 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. For further information and to register for this event, call 800-260-4PLI or visit www.pli.edu

Regis Fee: $1,695.00.

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