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ON DEMAND: Broker-Dealer Rulemaking and Enforcement: 2024 Review and 2025 Look-Forward
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Credit: 0 CLE Credit Hours
This program will address the impact of recent appellate court decisions on broker-dealer rulemaking and enforcement initiatives at the U.S. Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA), and also consider what the 2025 post-election regulatory and rulemaking landscape looks like for broker-dealers moving forward. More specifically, this program will address, among other things, the impact of the trio of appellate court cases from this summer – the U.S. Supreme Court’s Loper Bright and Jarkesy decisions, and the 5th Circuit’s decision to vacate the SEC’s new private fund rule set – on future broker-dealer regulation. The program also will explore significant FINRA cases from 2024 and how the recent reorganization of FINRA’s Enforcement Department might impact broker-dealer enforcement cases in 2025. The program will also address the upcoming election, and how various outcomes in the federal election cycle may impact broker-dealer rulemaking and enforcement in 2025 and beyond.
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Learn about the D.C. Bar Law Student Community and join for only $25 to attend most individual programs at a discounted rate and learn more about the opportunities. Find out more here.
Sponsored by: Broker-Dealer Regulation Committee of the D.C. Bar Corporation, Finance and Securities Law Community
Related Communities of Interest: D.C. Bar Administrative Law and Agency Practice Community; D.C. Bar Early Career Lawyers Community; D.C. Bar Law Student Community; D.C. Bar Litigation Community
Speakers:
- Bradley Bondi, Partner, Paul Hastings
- Kevin Hartzell, Vice President, Chief Counsel – Enforcement Legal, FINRA
- Mark Quinn, Director of Regulatory Affairs, Cetera Financial Group
- David Adams, Member, Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C. (Moderator)
- Russell Fecteau, Of Counsel, Davis Wright Tremaine LLP (Moderator)
| Your Price | Standard |
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| Non-Member | $40.00 | | D.C. Bar Member | $30.00 | | D.C. Bar Premium Community Member | $0.00 | | D.C. Bar Regular Community Member | $15.00 | | Law Student Community | $15.00 |
| Government & Nonprofit Attorneys | Standard |
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| Non-Member | $15.00 |
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