SIFMA - Compliance &amp; Legal Society Article RSS http://www.sifmacl.org SIFMA - Compliance &amp; Legal Society Article RSS feed. . SIFMA - Compliance &amp; Legal Society http://www.sifmacl.org/tresources/en/images/icons/tendenci34x15.gif http://www.sifmacl.org no Copyright 2005, SIFMA - Compliance &amp; Legal Society Tendenci Membership Management Software by Schipul - The Web Marketing Company en-us noemail@sifmacl.org Thu, 09 Sep 2010 13:02:44 GMT Articles http://www.sifmacl.org/en/art/30/ <div><o:p style="FONT-FAMILY: Arial"><b style="FONT-SIZE: 12pt">SIFMA-CL Luncheon</b><br><b style="FONT-SIZE: 10pt">Princeton Club</b> <div><b>May 15, 2007</b></div> </div> <div><o:p></o:p>&nbsp;</div> <div>Speaker Lori Martin<br>Partner, WilmerHale</div> <div>&nbsp;</div> <div>Presentation:&nbsp;</div> <div><a title="Financial planning association v. sec: fee based brokerage" href="http://www.sifmacl.org/attachments/files/9/2007%20May%20Monthly%20Luncheon%20Presentation%20_%20Lori%20Martin.ppt">Financial Planning Association v. SEC: Fee Based Brokerage</a></div> <div>&nbsp;</div> <div>Ms. Lori Martin, a Partner at&nbsp;WilmerHale,&nbsp;along with Mr. Michael Udoff, Vice-President and Associate General Counsel of&nbsp;the Securities Industry and Financial Markets Association spoke&nbsp;on issues regarding fee-based brokerage accounts. This presentation was especially timely in light of the D.C. Circuit Court's recent decision in Financial Planning Association v. SEC, in which the court ruled that the SEC exceeded its authority under the Investment Advisers Act when it promulgated Rule 202 (a)(11)-1 exempting certain broker-dealers providing fee-based brokerage accounts from registering as investment advisers.</o:p></div> <br><br>May 15, 2007 12:00 PM May 2007 Monthly Luncheon <div><o:p style="FONT-FAMILY: Arial"><b style="FONT-SIZE: 12pt">SIFMA-CL Luncheon</b><br><b style="FONT-SIZE: 10pt">Princeton Club</b> <div><b>May 15, 2007</b></div> </div> <div><o:p></o:p>&nbsp;</div> <div>Speaker Lori Martin<br>Partner, WilmerHale</div> <div>&nbsp;</div> <div>Presentation:&nbsp;</div> <div><a title="Financial planning association v. sec: fee based brokerage" href="http://www.sifmacl.org/attachments/files/9/2007%20May%20Monthly%20Luncheon%20Presentation%20_%20Lori%20Martin.ppt">Financial Planning Association v. SEC: Fee Based Brokerage</a></div> <div>&nbsp;</div> <div>Ms. Lori Martin, a Partner at&nbsp;WilmerHale,&nbsp;along with Mr. Michael Udoff, Vice-President and Associate General Counsel of&nbsp;the Securities Industry and Financial Markets Association spoke&nbsp;on issues regarding fee-based brokerage accounts. This presentation was especially timely in light of the D.C. Circuit Court's recent decision in Financial Planning Association v. SEC, in which the court ruled that the SEC exceeded its authority under the Investment Advisers Act when it promulgated Rule 202 (a)(11)-1 exempting certain broker-dealers providing fee-based brokerage accounts from registering as investment advisers.</o:p></div> no http://www.sifmacl.org/en/art/30/ Shivann Schonland Tue, 15 May 2007 16:00:00 GMT