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Fundamentals of Broker-Dealer Regulation 2019 (PLI Webcast)
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Groupcast at the offices of the Atlanta Bar Association

When: 7/22/2019
9:00 am to 5:15 pm
Where: Atlanta Bar Association
229 Peachtree Street NE
Suite 400
Atlanta, Georgia  30303
United States
Presenter: PLI and Atlanta Bar CLE
Contact: (404) 521-0781

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Fundamentals of Broker-Dealer Regulation 2019


Major changes in the broker-dealer industry and regulatory framework are anticipated as the SEC continues to advance its Regulation Best Interest, while various states advance their own fiduciary regulations. At the same time, the SEC, FINRA and the state regulators continue to scrutinize various brokerage practices via their respective examination programs.   



What You Will Learn


  • Who are the regulators and how do they interact?
  • What is entailed with respect to the duty to supervise?
  • Who is a broker-dealer and how do they register?
  • What steps need to be taken in response to the SEC’s and FINRA’s focus on conflicts?
  • What is “suitability”?
  • What records are a broker-dealer required to maintain?
  • What are the prospects of the SEC’s proposed Regulation Best Interest becoming a final rule?
  • What practices could a broker-dealer establish with a view to satisfying the emerging state patchwork of fiduciary duty regulations? 
  • What are the SEC’s and FINRA’s 2019 exam priorities?



Who Should Attend

Anyone entering the brokerage industry will benefit from this program’s thorough grounding in the basic regulatory regime governing the industry, as will anyone already working in the industry who would like a refresher.


Register online and view more information at


Practicing Law Institute and Atlanta Bar CLE will continue working together to bring PLI programs to you! 


PLI is dedicated to providing the legal community with the most up-to-date, relevant information and techniques which are critical to the development of a professional, competitive edge. 


More of PLI's sophisticated and cutting-edge programs will be webcast live at the Atlanta Bar Association Office through May 2018. 


6 CLE hours, Including 1 Ethics Hour

Experienced faculty will examine significant developments in education law and policy, as well as the implications of these developments for your clients. This program, offering practical guidance and covering the latest legal developments, is valuable for school law attorneys, impartial hearing officers, and agency and school district administrators, as well as parents interested in learning about the unique issues arising in school law.



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