Practising Law Institute: Fundamentals of Broker-Dealer Regulation 2025
On January 22, at 9:00 am, Christopher J. Kelly, Chair of the CSG Law Securities Enforcement Group, will serve as a speaker at the Practising Law Institute (PLI)’s, “Fundamentals of Broker-Dealer Regulation 2025” program. Mr. Kelly, and his co-panelists, will delve into recent developments, examine enforcement activity by the SEC, FINRA, and the states, and hear about how broker-dealers are responding to these developments and the challenges ahead for the industry.
The following topics will be covered during the program:
- Identify who the regulators are and how they interact
- Better understand what is entailed with respect to the duty to supervise
- Define who is a broker-dealer and recognize how they register
- Understand what steps need to be taken in response to the SEC’s and FINRA’s focus on conflicts
- Know what records a broker-dealer is required to maintain
- List the SEC’s and FINRA’s 2025 exam and compliance priorities