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David Blass Speaks at PLI’s “Fundamentals of Broker-Dealer Regulation 2021” Program

07.19.21

Corporate Partner David Blass participated on a Practising Law Institute virtual panel titled, “Fundamentals of Broker-Dealer Regulation 2021” on July 19th. The panel discussed the challenging regulatory landscape faced by legal and compliance personnel at broker-dealers and provided attendees with insight on how the Securities Exchange Act of 1934, FINRA rules and state securities laws impact the governing of the brokerage industry.

For more information, please click here.

Team and Contacts

David Blass Partner [email protected] +1-202-636-5863

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News & Events

David Blass Speaks at PLI’s “Fundamentals of Broker-Dealer Regulation 2021” Program

Team and Contacts

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