Insights: Events State Regulation of Broker-Dealers

PLI's Fundamentals of Broker-Dealer Regulation 2021

Monday, July 19, 2021

Legal and compliance personnel at broker-dealers are dealing with a challenging and dynamic regulatory landscape, including enhanced standard of conduct rules applying to broker-dealer recommendations to retail clients, regulatory scrutiny of new types of brokerage trading platforms and ongoing exam and enforcement scrutiny. In addition to discussing these challenges, this program will provide attendees with a solid foundation in the regulatory regime applying to broker-dealers. Attendees will learn how the Securities Exchange Act of 1934, FINRA rules and state securities laws interact in governing the brokerage industry.

Attendees will hear directly from industry experts and regulators about recent developments, exam and 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.

This panel will discuss the following topics:

  • Registration requirements
  • Exam and enforcement authority
  • NASAA’s 2021 agenda for state broker-dealers

Event Details

Monday, July 19, 2021

Live Webcast and Watch On-Demand

11:30 a.m. - 12:45 p.m.

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