Broker-Dealer Enforcement & Compliance

Forum Overview

Dates: April 4 - 6, 2027

Location: New Orleans, LA

The Steering Committee welcomes up to 44 highly qualified attorneys, and a select few in-house counsel, specializing in securities enforcement and regulation of broker-dealers, across the United States. Discussions will have a strong FINRA and SEC broker-dealer focus and will include only those who are considered experts in the field.

Through candid, interactive discussions at this annual meeting, the group will explore the most pressing and provocative issues of the day. Participants learn how others address these problems and identify practical solutions that can work for them.

CONNECT. ENGAGE. EXCEL. This is a different event, unlike any you've attended

Built on meaningful interactions and genuine connections, the Forum is the premier gathering for preeminent leaders in securities enforcement and regulation of broker-dealers.

"There are very few opportunities that you get to speak openly and candidly in this intimate a setting with fellow attorneys across the in-house and outside counsel spectrum. I highly recommend this Forum."

Jason Habermeyer

Associate General Counsel

Edward Jones

San Francisco, CA

"The small group setting with very experienced attorneys focused on the broker dealer space provided for a robust and helpful exchange of ideas."

Russell Fecteau

Of Counsel

Davis Wright Tremaine LLP

Washington, D.C.

"The roundtable format, the caliber of the participants and the genuine collegiality of the room made for an experience that was as professionally valuable as it was personally enjoyable."