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

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.

Related People
Related Practices/Industries

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 - Fundamentals of Broker-Dealer Regulation 2009
Save ChangesDownload MYBRIEFCASEClear All