Attendees will also learn about recent regulatory enforcement activity by the SEC, FINRA, and the states and about how broker-dealers are responding to these developments and the challenges ahead for the industry. Further, a distinguished faculty of practitioners and regulators, including current and former officials of the Securities and Exchange Commission and FINRA will offer insights into recent rulemaking that is having far-reaching impact on the governance and day-to-day operations of firms.

WilmerHale partner, Andre Owens will be a featured speaker at this event, presented by PLI.