Broker/Dealer Regulation and Enforcement 2020

Broker/Dealer Regulation and Enforcement 2020

Speaking Engagement

This program, organized by the Practising Law Institute, will address key developments and priorities in the regulation and oversight of broker-dealers. The current regulatory agendas are a mix of regular mainstays with new areas of focus including cybersecurity, digital assets, online distribution platforms, FinTech, anti–money laundering, protection of retail investors and financial, market and operational risks, and COVID-19 related issues. The program’s distinguished faculty of regulators, industry experts and leading practitioners will share their insights and best practices to help attendees and their clients keep up with the changing landscape of the securities business and its regulatory oversight.

Partner Susan Schroeder will participate in a panel titled “Broker/Dealer: State Enforcement Initiatives, Developments and Priorities,” where state regulators will review regulatory initiatives, developments and priorities, and offer insights for avoiding and responding to state regulatory matters, including: 

  • Sale of non-traditional securities to retail investors (real estate investments, gold and precious metals, oil and gas drilling programs, promissory notes) and unregistered activity
  • Senior fraud, Ponzi schemes, and social media/internet fraud
  • Cryptocurrency 
  • COVID-19 Enforcement Task Force and pandemic related schemes

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