News

ABCs of Broker-Dealer Regulation 2008

May 8, 2008
PLI New York Center
New York, NY

Why You Should Attend
The recent merger of the NYSE and NASD will result in one securities regulatory organization and marks the beginning of a new regime. The newly created entity, FINRA, will begin the process of rule harmonization, thereby creating a single rulebook. At this day-long program, you will learn what process is being made by FINRA to create a single rulebook.

Further, this program will provide attendees with a solid foundation in the regulatory regime applying to broker-dealers. Attendees will learn how the Securities and Exchange Act of 1934 and state securities laws interact in governing the brokerage industry.

Attendees will also learn about recent 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.Further, a distinguished faculty of practitioners and regulators, including current and former officials of the Securities and Exchange Commission and FINRA will offer insights into recent rulemaking that is having far-reaching impact on the governance and day-to-day operations of firms.

What You Will Learn

  • Who are the regulators and how do they interact?
  • What is entailed with respect to the duty to supervise?
  • How are conflicts of interests resolved?
  • What is “suitability”?
  • What is the role of the lawyer during the fund board meeting?
  • What is the role of the chief compliance officer?
  • How do the SEC and FINRA conduct inspections?

Who Should Attend
Anyone entering the brokerage industry will benefit from a thorough grounding in the basic regulatory regime governing the industry as will anyone already working in the industry who would like a refresher.

Meet the speakers

Email Disclaimer