Broker/Dealer Regulation and Enforcement 2025
- 10.9.2025 | 9:00 AM - 11:00 AM
Stephanie Avakian , Andre Owens
PLI’s Broker-Dealer Regulation and Enforcement 2025 Conference will spotlight the latest developments and enforcement priorities in broker-dealer oversight.
Stephanie Avakian, Chair of the firm’s Securities and Financial Services Department, will speak on the panel “SEC, CFTC, DOJ and SRO Enforcement of Brokers/Dealers” at 9:10 a.m., offering insights into multi-agency enforcement trends.
Andre Owens, Chair of the Broker-Dealer Compliance and Regulation Practice and Co-Chair of the Securities and Financial Regulation Practice, will moderate the panel “Examinations and Rulemaking Developments: Broker/Dealer Regulatory Update” at 10:55 a.m., guiding a discussion on recent regulatory initiatives and examination priorities.
