May 25, 2021

Basics of Broker Dealer Law


New York State Bar Association


The capital markets have evolved considerably since 24 stockbrokers met outdoors on Wall Street to sign the “Buttonwood Agreement” in 1792.  From curb-brokers, trading at coffee houses, exchange floors, algorithmic trading, digital or cryptography-based asset etc., globalization and the advent of the technology often are credited for shaping the modern markets.  

During this session hosted by the New York State Bar Association (NYSBA), Marlon Paz will cover the foundation in the regulatory regime applying to broker-dealers: (i) the applicable laws and regulations, as well as the regulators; (ii) status and registration; (iii) supervision; (iv) sales practice rules and customer relationship; and (iv) trading practice rules; and (v) financial responsibility rules.  The discussion will provide building blocks designed to serve as a high-level primer for those entering the brokerage industry.

For more information, including registration access, please see the event website.

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