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PLI's Broker/Dealer Regulation and Enforcement 2017

October 17, 2017

PLI New York Center
1177 Avenue of the Americas
(2nd floor), entrance on 45th Street
New York, New York 10036.

This program will focus on the many significant developments in the regulation and oversight of broker-dealers. With a new administration, what regulatory changes can broker-dealers and the industry expect to see? Will there continue to be significant regulatory focus on cybersecurity, alternative trading systems and high-frequency trading, and wide-ranging equity market structure issues? What federal and state securities laws and federal commodities laws will the DOJ, SEC, CFTC, state regulators and FINRA be focusing on? 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.

Jones Day Securities Litigation & SEC Enforcement practice leader Henry Klehm will speak on a panel entitled, "CFTC, DOJ and SRO Enforcement of Brokers/Dealers."

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


Registration for this event is required. To register for this event, groupcast events, or webcast, or determine CLE credit, visit the Practising Law Institute website.