Jun 20, 2007 4:00 PM  CST  

June 2007 Monthly Luncheon 

SIFMA-CL Luncheon
Princeton Club
June 18, 2007
 
 
"An Update on the Examination Programs of the NASD, NYSE and SEC" 
  • Examination and Regulatory Priorities        
  • Examination Findings
  • Repetitive Industry Problems
  • Examination Coordination
  • Oversight Examinations
    •  
    Materials:              June Monthly Luncheon Outline           
                                  June Monthly Luncheon Handout                        
     
     
    Speakers:

    Mary Ann Gadziala
    Associate Director, Office of Compliance Inspections and Examinations
    United States Securities and Exchange Commission

    Grace B. Vogel
    Executive Vice President
    Member Firm Regulation, New York Stock Exchange, Inc.

    Robert C. Errico
    Executive Vice President
    Member Regulation, NASD

    R. Gerald Baker
    Executive Director
    SIA Compliance & Legal Division

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    For additional information on this Luncheon Notes article, please contact:

    Shivann Schonland
    212-629-9393 xt 207

    Source: SIFMA-CL

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