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Broker/Dealer Regulation and Enforcement 2013

Sponsor of Event: Practicing Law Institute
October 23, 2013
8:00 AM - 4:00 PM


Baker Donelson
165 Madison Avenue
Suite 2000
Memphis, Tennessee


October 23, 2013
8:00 AM - 4:00 PM

Who should attend
Attorneys and other professionals involved in securities, corporate, banking and finance, and insurance law; in-house counsel and compliance professionals, financial advisers, bankers and accountants; and those employed in supervisory positions throughout the financial services industry.

Why you should attend
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.

What you will learn

  • 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

Cost: $1,695.00

Registration Contact: PLI Customer Service 1.800.260.4754  

Events Contact

Heather Stripling
T: 205.250.8332
  Email Professional

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