Emerging Developments in Broker-Dealer Regulation (5/2/24)

This is a hybrid event with an in-person and a webinar option. Please select the appropriate button when registering if you plan to attend in-person.

A distinguished panel will discuss and share insights regarding new and emerging developments in the regulation of securities broker-dealers, including hot topics such as off-channel communications and Reg BI. 

Speakers:
James Brady, Partner, Katten Muchin Rosenman LLP
Mark Koerner, Chief Counsel, FINRA Enforcement
Susan Light, Partner, Katten Muchin Rosenman LLP
John Robbins, Chief Compliance Officer, Apex Fintech Solutions

Moderator:
Peter Wilson, Partner, Katten Muchin Rosenman LLP; Chair, CBA Securities Law Committee

To confirm you are ready to participate in an on demand webcast, please take the browser test here: http://eventcenter.commpartner...

Live CBA Committee meetings and seminars will take place via Zoom webinar.  You will click on "view video" and be directly connected to the meeting/seminar on Zoom.  (You will not receive a Zoom link.)

You MUST have Zoom Desktop Client on your Mac or PC to view a live program. If using a mobile device, you must have the Zoom App (available in the App Store or Google Play).

System requirements for Mac & PC can be found here. System requirements for mobile devices can be here.  

Please note that audience members do not need video or audio access.  Audience members are able to submit questions via the chat or Q & A features of Zoom. 

Chat: Open in-meeting chat, allowing you to send chat messages to and send a message to the host, panelists, and attendees (if permitted). Question & Answer: Open the Q&A window, allowing you to ask questions to the host and panelists. They can either reply back to you via text in the Q&A window or answer your question live.