The New Normal in Broker-Dealer Regulation, Examination and Enforcement

Please join us as we discuss considerations for broker-dealers in the aftermath of the COVID-19 crisis. Partners from Sidley’s Securities Enforcement and Regulatory practice will forecast areas of interest and concern that may arise from the current climate.

Topics will include:

• Anticipated changes in SEC and FINRA enforcement
• The evolution of the SEC and FINRA exam programs
• SEC and FINRA regulatory priorities before the election

SIDLEY SPEAKERS

James Brigagliano, Partner, Washington, D.C.

W. Hardy Callcott, Partner, San Francisco

Kevin J. Campion, Partner, Washington, D.C.

Susan L. Merrill, Partner, New York

Sidley Austin LLP is an Approved Accredited Provider of CA, IL and NY CLE credit.
CLE credit is pending for this program.

For additional information regarding this event, please contact nyevents@sidley.com.