At a recent PLI webcast on Broker/Dealer Regulation and Enforcement, Ronak Patel
participated in a panel discussion addressing state enforcement initiatives, developments, and priorities
. The PLI Webcast in New York focused on the many significant developments in the regulation and oversight of broker-dealers, including regulatory changes, regulatory focus on cybersecurity, alternative trading systems, and high-frequency trading, and federal and state securities laws. Mr. Patel's
discussion covered regulatory initiatives, developments, and priorities and offered insights for avoiding and responding to state regulatory matters.