PLI - Broker/Dealer Regulation and Enforcement 2018

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Registration Options

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TypeTitleStartEndCLEPrice
Mechanicsburg
PBI Conference Center
5080 Ritter Road, Rossmoyne Exit, Rt. 15, Mechanicsburg PA, 17055
STARTTue., Oct. 16, 2018
9:00 AM
ENDTue., Oct. 16, 2018
5:00 PM
CLE 6 sub/0 eth PRICE $1,850.00
Philadelphia
The CLE Conference Center
Wanamaker Building, 10th Floor, Suite 1010, Philadelphia PA, 19107
STARTTue., Oct. 16, 2018
9:00 AM
ENDTue., Oct. 16, 2018
5:00 PM
CLE 6 sub/0 eth PRICE $1,850.00
Pittsburgh
PBI Professional Development Center
Heinz 57 Center, 339 Sixth Avenue, 7th Fl., Pittsburgh PA, 15222
STARTTue., Oct. 16, 2018
9:00 AM
ENDTue., Oct. 16, 2018
5:00 PM
CLE 6 sub/0 eth PRICE $1,850.00

About

This program will address the many significant developments and trends in the regulation and oversight of broker-dealers. As uncertainty remains around whether any major regulatory change will be forthcoming, the regulators are forging ahead with their regulatory agendas and priorities. The DOJ, SEC, CFTC, state regulators and FINRA are focused on a number of hot issues including , in particular, cybersecurity, protection of retail investors and identification and management of market risks, and recent emerging issues such as Cryptocurrency and Initial Coin Offerings. 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 securities 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
  • How the SEC, SROs and states fared over the past year in litigated matters
  • Major cases impacting broker-dealers
  • In-house lawyers’ and compliance officers’ regulatory and enforcement challenges, and their strategies and best tips for minimizing regulatory exposure

Faculty

No speakers have been associated with this event.
Faculty may vary by location.
PBI reserves the right to substitute speakers at all programs.
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