Event: Broker/Dealer Regulation and Enforcement 2018 (NY)

Event: Broker/Dealer Regulation and Enforcement 2018 (NY)
Date: 2018-10-16
Details: Oct. 16: "Broker/Dealer Regulation and Enforcement 2018," sponsored by the Practising Law Institute, will be held in New York, NY at the PLI New York Center. This program will address the many significant developments and trends in the regulation and oversight of broker-dealers. As uncertainty remains around whether any major regulatory change will be forthcoming, the regulators are forging ahead with their regulatory agendas and priorities. The DOJ, SEC, CFTC, state regulators and FINRA are focused on a number of hot issues including , in particular, cybersecurity, protection of retail investors and identification and management of market risks, and recent emerging issues such as Cryptocurrency and Initial Coin Offerings. 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: $1,850.00.

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