Practising Law Institute: ABCs of Broker-Dealer Regulation 2008
- 5.8.2008 | 9:00 AM - 5:00 PM
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PLI New York Center
810 Seventh Avenue at 53rd Street (21st floor)
New York, New York 10019
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.
WilmerHale partner, Andre Owens will be a featured speaker at this event, presented by PLI.
