Search for Events
Search by date
Choose From Date
Choose To Date

The ABCs of Broker-Dealer Regulation 2007

May 10, 2007

Practising Law Institute

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.

Our Story

Sutherland Asbill & Brennan LLP is an international law firm helping the Fortune 100, industry leaders, sector innovators and business entrepreneurs solve their biggest challenges and reach their business goals. Dedicated to unfaltering excellence in client service, we are known for our business savvy and industry intelligence, providing creative and custom solutions for each of our clients. Industry and business experience makes the difference for our clients.

click to watch Videocast: DOL Fiduciary Rule Litigation Impacts
Videocast: DOL Fiduciary Rule Litigation Impacts
Atlanta, GA
Washington, DC
© 2016 Sutherland Asbill & Brennan LLP / Sutherland (Europe) LLP
Add this page to MYBRIEFCASE
Events - The ABCs of Broker-Dealer Regulation 2007
Save ChangesDownload MYBRIEFCASEClear All