Speaking Engagement

PLI - Coping with Broker/Dealer Regulation and Enforcement 2008


PLI New York Center
New York, NY

Why You Should Attend

In recent months we have seen unprecedented upheaval in financial markets - the federal government bailouts of Fannie Mae, Freddie Mac and AIG, JP Morgan Chase's acquisition of Bear Stearns and Bank of America's acquisition of Merrill Lynch, and Lehman Brothers' bankruptcy filing, which is the largest in U.S. history. The federal and state governments' responses to these events have been fast-paced and unparalleled, yet many of the essential details are still unsettled. At this day-long program, an expert faculty of federal, state and SRO attorneys, senior litigators, and in-house counsels, will help you cope with the dizzying changes in Broker/Dealer enforcement and regulation, including issues underlying the financial market crisis, and the examination and enforcement priorities of the SEC, SRO's and state regulators. In addition, senior in-house regulatory lawyers will offer practical advice regarding self-reporting, cooperation, remediation, and managing the regulatory process, while senior litigators will discuss developments in private litigation, parallel investigations, and privilege waivers. Now more than ever, you can't afford to miss this program.

What You Will Learn

  • What are the current regulatory and enforcement issues surrounding the subprime credit crisis?
  • How have the SEC, SROs and states fared over the past year in litigated matters?
  • What are the current examination and enforcement priorities of the SEC, SROs and State regulators?
  • How has FINRA affected SRO examination and enforcement programs?
  • When does a lawyer cross the line between counselor and defendant?

Who Should Attend

Attorneys and other professionals involved in securities, corporate, banking and finance and insurance law, in-house counsel and compliance professionals, financial advisors, bankers and accountants, and those employed in supervisory positions throughout the financial services industry.

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