Davis Polk partner Lanny Schwartz will be among the speakers at PLI’s Fundamentals of Broker-Dealer Regulation 2017 program. Schwartz will speak on the “Who is a Broker-Dealer? How do Broker-Dealers Register? The Different Types of Broker-Dealers” panel. Topics discussed will include:
- The broker-dealer definition
- Exceptions to the definition
- Status of finders and placement agents
- Registration as a broker dealer: The Form BD
The program will be held on July 17, 2017, in New York.
For more information, please visit the event website.