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Fundamentals of Broker-Dealer Regulation 2010

June 28, 2010

Practising Law Institute

Sutherland Partners Clifford E. Kirsch and Bruce Bettigole are speaking at PLI’s program, Fundamentals of Broker-Dealer Regulation 2010, June 28, 2010, at the PLI New York Center in New York, New York.  Cliff is chair of the event and will be providing opening remarks.  Bruce is presenting "Broker-Dealer Enforcement, Litigation and Arbitration."  He will discuss the SEC Enforcement program; current litigation against broker-dealers; and the arbitration process.

Major changes in broker-dealer regulation and the industry are anticipated as a result of the financial services crisis.  At the same time, the merger of the NYSE and NASD has resulted in one securities regulatory organization—FINRA—and marks the beginning of a new regime with a new rulebook.  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 and Exchange Act of 1934, FINRA rules and state securities laws interact in governing the brokerage industry.

For more information and to register for this event, click here.

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