PLI's Broker/Dealer Regulation and Enforcement 2020

9:00 am - 4:45 pm ET

This program will address key developments and priorities in the regulation and oversight of broker-dealers. The current regulatory agendas are a mix of regular mainstays with new areas of focus including cybersecurity, digital assets, online distribution platforms, FinTech,  Anti-Money Laundering, protection of retail investors and financial, market and operational risks, and COVID-19 related issues.  PLI's distinguished faculty of regulators, industry experts and leading practitioners will share their insights and best practices to help you keep up with the changing landscape of the securities business and its regulatory oversight.

Henry Klehm, leader of the Firm's Securities Litigation & SEC Enforcement Practice, will moderate a roundtable of in-house broker-dealer lawyers.

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
  • Private securities litigation impacting broker-dealers
  • In-house lawyers’ and compliance officers’ regulatory and enforcement challenges, and their strategies and best tips for minimizing regulatory exposure

Richard R. Best, Regional Director, New York Regional Office, U.S. Securities and Exchange Commission, will provide the luncheon keynote.


For more information on this webinar, including registration and CLE details, please visit the "Broker/Dealer Regulation and Enforcement 2020" page on the PLI website.