Broker/Dealer Regulation and Enforcement 2013
October 23, 2013
CLE - Live Seminar
USA
Description
The Dodd-Frank Act - frequently described as the most sweeping reform legislation in decades - and the contemplated, proposed or final rules implementing it, have significant implications for broker-dealers. The concurrent proliferation of new regulation and record-breaking enforcement activity by the DOJ, SEC, CFTC, states and SROs have created a strained and overburdened environment for legal and compliance personnel. 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 business and its regulatory oversight.
- Current regulatory issues being addressed by the regulators
- Current examination and enforcement priorities of the SEC, CFTC, SROs and state regulators
- Major criminal cases impacting broker-dealers
- In-house lawyers’ and compliance officers’ regulatory and enforcement challenges, and their strategies and best tips for minimizing regulatory exposure
Organized by
Practising Law Institute
810 Seventh Avenue
New York, New York
United States of America
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