David Blass Speaks at PLI’s Fundamentals of Broker-Dealer Regulation 2020 Program
07.13.20
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Corporate Partner David Blass spoke at the Practising Law Institute’s (PLI) “Fundamentals of Broker-Dealer Regulation 2020” program on July 13th. David spoke with a member of the staff of the U.S. Securities and Exchange Commission on a panel titled, “Who is a Broker-Dealer? How do Broker-Dealers Register? The Different Types of Broker-Dealers; FINRA’s Membership Process,” which addressed numerous aspects of broker-dealer regulation.
For more information on the program, please click here.