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The ABCs of Broker-Dealer Regulation 2008

May 8, 2008

Practising Law Institute

Sutherland Partner Clifford E. Kirsch is chair of the ABCs of Broker-Dealer Regulation 2008, hosted by the Practising Law Institute, May 8, 2008, in New York City, and is presenting an overview of broker-dealer regulation. In addition, Sutherland Partner Susan S. Krawczyk is presenting on "Compensation Practices and Financial Obligations." Her presentation will cover common practices for effecting securities transactions; regulatory restrictions on compensation arrangements; payments to Associated Persons; net capital and customer protection; and financial reporting.

The program is designed to provide attendees with a solid foundation in the regulatory regime applying to broker-dealers. Attendees will learn about progress being made by FINRA, the new regulatory organization created by the recent merger of the NYSE and NASD, to create a single rulebook. Further, the program will cover recent regulatory enforcement activity by the SEC, FINRA, and the states and discuss how broker-dealers are responding to these developments and the challenges ahead for the industry.

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Adam C. Pollet, Associate
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