PLI’s Fundamental of Broker-Dealer Regulation 2020

Monday, July 13, 2020

Morgan Lewis’s partner Christine Lombardo will speak on the panel for “Broker-Dealer Standard of Conduct: Living with Regulation Best Interest and Patchwork of State Fiduciary Regulations” at PLI’s Fundamental of Broker-Dealer Regulation 2020. The panelists will discuss topics such as identifying and mitigating conflicts, required disclosures and the impact on dual registrants.

This full-day program will provide attendees with a solid foundation in the regulatory regime applying to broker-dealers, including what to expect next regarding the broker-dealer regulation. Participants will also learn how the Securities Exchange Act of 1934, FINRA rules and state securities laws interact in governing the brokerage industry.