Practising Law Institute: Coping with Broker/Dealer Regulation and Enforcement

• 10.29.2008 | 9:00 AM - 5:00 PM
• PLI New York Center
  810 Seventh Avenue at 53rd Street (21st Floor)
  New York, New York 10019

This program, presented by PLI, will feature a panel of expert facultywho will discuss ways that will helpone cope with the 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.

WilmerHale partner Harry Weiss will speak on a panel entitled,"SEC and SRO Enforcement Developments."