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Broker/Dealer Regulation and Enforcement 2011 (Live Webcast)

Practising Law Institute
October 26, 2011
8:00 AM - 4:00 PM


Baker, Donelson, Bearman, Caldwell & Berkowitz, PC
Memphis, TN


October 26, 2011
8:00 AM - 4:00 PM

As a result of the market turmoil, where confidence in the integrity and trustworthiness of the securities markets has been damaged, there has been an increased emphasis on strong regulation and enforcement of the securities laws - by the DOJ, SEC, CFTC, states and SROs. In 2010, President Obama signed into law the most ambitious overhaul of financial regulation in generations -the "Dodd-Frank Wall Street Reform and Consumer Protection Act." The Dodd-Frank Act places broad new authority in the hands of federal watchdogs in an effort to prevent a recurrence of the financial crisis that erupted nearly two years ago, and leaves many of the substantive changes to regulatory agencies for implementation. The Dodd-Frank Act has significant implications for broker-dealers. In particular, the Dodd-Frank Act requires the SEC to conduct a six-month study on the need to impose a fiduciary duty upon broker-dealers when they conduct business with retail customers, and it also gives the SEC the power to limit the use of mandatory pre-dispute arbitration agreements between broker-dealers and their customers. Consequently, broker-dealers and their compliance and legal personnel will be presented with unique challenges in the coming year. 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.

What you will learn

  • What are the current regulatory issues being addressed by the regulators?
  • What are the current examination and enforcement priorities of the SEC, CFTC, SROs and state regulators?
  • How have the SEC, SROs and states fared over the past year in litigated matters?
  • What are the major cases impacting broker-dealers, including class action litigation, and shareholder, derivative and ERISA litigation?
  • What are the regulatory and enforcement challenges faced by in-house lawyers, and what are their strategies for minimizing their firms’ regulatory exposure?

Cost: $1,595.00
Registration Contact: PLI Customer Service 1.800.260.4754
Practice Areas: Securities, corporate, banking and finance, and insurance law

Events Contact

Heather Stripling
T: 205.250.8332
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