Broker-Dealer

Publications

Upcoming Events

Recent Events

  • Broker-Dealer Exam Priorities and Hot Topics
    17 July 2017
    Practising Law Institute
    Debevoise & Plimpton LLP, New York
    Speaking Engagements
  • Mitigating Litigation Risk within the BIC Exemption; DOL Rule Impact on Securities Lending Transactions, Banks, Broker-Dealers, and Insurance Companies
    20 October 2016
    RMA and Debevoise & Plimpton LLP
    What to Do Now? Implementing the Department of Labor Fiduciary Duty
    Debevoise & Plimpton LLP, New York
    Speaking Engagements
  • Capital Raising and Exit Transactions for Fin-Tech Companies: A Primer
    22 September 2016
    Debevoise & Plimpton, Freeman & Co.
    Financial Technology M&A and Capital Raising Seminar
    San Francisco, California
    Speaking Engagements
  • Regulatory Priorities for FinTech Firms -- and Investors
    22 September 2016
    Debevoise & Plimpton and Freeman & Co.
    Financial Technology M&A and Capital Raising Seminar
    San Francisco, California
    Speaking Engagements
  • Developing Tools for Banks and Affiliated Broker-Dealers to Cope with Regulation
    11 February 2016
    Risk Management Association; Debevoise & Plimpton
    2nd Annual Broker Dealers and Bank Counterparties in the New Bank Regulatory Landscape
    Debevoise & Plimpton, New York, New York
    Speaking Engagements
  • Key Regulation and Market Developments Impacting Securities Lending & Repo in 2016
    3 February 2016
    Information Management Network
    The 22nd Annual Beneficial Owners’ International Securities Lending & Collateral Management Conference
    Phoenix, Arizona
    Speaking Engagements
  • Volcker Rule Post Implementation Issues
    26 October 2015
    Debevoise & Plimpton LLP, Ernst & Young, Risk Management Association
    Volcker Round Table
    New York, New York
    Speaking Engagements
  • Preparing for the Move to a Shorter Settlement Cycle
    17 September 2015
    Securities Industry and Financial Markets Association
    T+2 Symposium
    New York, New York
    Speaking Engagements
  • Fundamentals of Investment Adviser Regulation 2015
    15 July 2015
    Practising Law Institute
    Fundamentals of Investment Adviser Regulation 2015
    New York, NY
    Speaking Engagements
  • The Impact of Shortened Settlement Cycles
    10 June 2015
    Risk Management Association
    Securities Lending Operations & Technology Managers Round Table
    New York, NY
    Speaking Engagements
  • Keeping Your Financial House in Order: Cash Management, Prime Broker Relationships and Custody Issues
    5 May 2015
    Managed Funds Association
    MFA Compliance 2015
    New York, NY
    Speaking Engagements
  • Broker Dealer and Enforcement Seminar with the RMA
    4 February 2015 12:00 AM Dateline Standard Time
    Debevoise Events