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The ABCs of Broker-Dealer Regulation 2006

May 2, 2006

Practising Law Institute

The ABC's of Broker-Dealer Regulation will be held on May 2 at the Practicing Law Institute's New York Center in New York City. This program is designed to provide attendees with a solid foundation in the regulatory regime applying to broker-dealers. Attendees will learn how the Securities Exchange Act of 1934, the rules of the NASD and NYSE, and state securities laws interact in governing the brokerage industry. Sutherland Partner Susan Krawczyk will speak at the event. 

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Adam C. Pollet, Associate
Washington, DC
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