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Fundamentals of Broker-Dealer Regulation 2009

June 29, 2009

Practising Law Institute

Sutherland Partners Clifford E. Kirsch and  Susan S. Krawczyk are speaking at PLI’s Fundamentals of Broker-Dealer Regulation 2009, June 29, 2009, at the PLI New York Center in New York City.  Cliff is chairperson of the event, and Susan is a member of the faculty.

The recent merger of the NYSE and NASD has resulted in one securities regulatory organization and marks the beginning of a new regime.  The newly created entity, FINRA, has begun the process of rule harmonization, thereby creating a single rulebook.  At this day-long program, attendees will learn what progress is being made by FINRA to create a single rulebook.  Further, this program will provide attendees with a solid foundation in the regulatory regime applying to broker-dealers.

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

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