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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.
Further, a distinguished faculty of practitioners and regulators, including current and former officials of the Securities and Exchange Commission, NASD and NYSE will offer insights into recent rulemaking that is having far-reaching impact on the governance and day-to-day operations of firms.