Event: Fundamentals of Broker-Dealer Regulation 2019 (NY)

Event: Fundamentals of Broker-Dealer Regulation 2019 (NY)
Date: 2019-07-22
Details: July 22: "Fundamentals of Broker-Dealer Regulation 2019" sponsored by the Practising Law Institute, will be held in New York, NY at the PLI New York Center. Major changes in the broker-dealer industry and regulatory framework are anticipated as the SEC continues to advance its Regulation Best Interest, while various states advance their own fiduciary regulations. At the same time, the SEC, FINRA and the state regulators continue to scrutinize various brokerage practices via their respective examination programs. This program will provide attendees with a solid foundation in the regulatory regime applying to broker-dealers, including what to expect next regarding broker-dealer regulation. Attendees will learn how the Securities Exchange Act of 1934, FINRA rules and state securities laws interact in governing the brokerage industry. Attendees will also learn about recent exam and regulatory enforcement activity by the SEC, FINRA, and the states and about how broker-dealers are responding to these developments and the challenges ahead for the industry. 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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