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E.g., 7/26/2017
E.g., 7/26/2017
Lanny Schwartz to Speak at PLI’s Fundamentals of Broker-Dealer Regulation 2017 Program
July 17, 2017
New York, NY

 

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.