Fundamentals of Broker-Dealer Regulation 2023
July 17, 2023
July 17, 2023
New York, New York
Cleary Gottlieb partner James Burns spoke at PLI’s Fundamentals of Broker-Dealer Regulation 2023 conference.
Jim spoke on the panel, “Broker-Dealer Fundamentals – Part II: An Overview of the Broker-Dealer Regulatory Framework,” which discussed the state regulatory framework and the role of SRO regulation.
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