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Fundamentals of Broker-Dealer Regulation 2013

June 24, 2013

Practising Law Institute

Sutherland Partners Clifford E. Kirsch and Susan S. Krawczyk are speaking at PLI's Fundamentals of Broker-Dealer Regulation 2013 on June 24, 2013, at the PLI New York Center in New York. Cliff will present "Broker-Dealer Registration and FINRA Membership" and "Supervision and Compliance Programs (Legal Ethics)," while Cliff and Susan will both present "The Customer Relationship."

Major changes in broker-dealer regulation and the industry have come about as a result of the financial services crisis and the resulting regulatory reform. At the same time, FINRA's overhaul of its rulebook as part of its Rulebook Consolidation process is almost complete. This program will provide attendees with a solid foundation in the regulatory regime applying to broker-dealers, including what to expect next regarding broker-dealer regulation. Attendees will learn how the Securities Exchange Act of 1934, FINRA rules and state securities laws interact in governing the brokerage industry.

Attendees will also learn about recent regulatory 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.

A distinguished faculty will offer insights into recent rulemaking that is having far-reaching impact on the day-to-day operations of firms.


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Adam C. Pollet, Associate
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