SIFMA - Compliance &amp; Legal Society - Articles 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 SIFMA - Compliance &amp; Legal Societyhttp://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 01:41:45 GMT Articles http://www.sifmacl.org/en/art/35/ June 2007 Monthly Luncheon <b><font size="3">SIFMA-CL Luncheon<br></font>Princeton Club</b> <div><b>June 18, 2007</b></div> <div> <div>&nbsp;</div> <div>&nbsp;</div> <div><b style="FONT-SIZE: 10pt">"An Update on the Examination Programs of the NASD, NYSE and SEC"</b>&nbsp;</div> </div> <blockquote dir="ltr" style="MARGIN-RIGHT: 0px"> <div> <li><span>Examination and Regulatory Priorities&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; </span> <li><span>Examination Findings </span> <li><span>Repetitive Industry Problems </span> <li><span>Examination Coordination </span> <li><span>Oversight Examinations</span><span> </span></li> </div> </blockquote> <div>&nbsp;</div> <div>Materials:&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; <a href="http://www.sifmacl.org/attachments/files/17/June Luncheon handout 1.pdf">June Monthly Luncheon Outline</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;</div> <div>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;<a href="http://www.sifmacl.org/attachments/files/16/June Luncheon Handout 2.pdf">June Monthly Luncheon Handout</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;</div> <div>&nbsp;</div> <div>&nbsp;</div> <div>Speakers:<br><br><span style="FONT-SIZE: 10pt"><b>Mary Ann Gadziala</b> <br><i>Associate Director, Office of Compliance Inspections and Examinations <br>United States Securities and Exchange Commission</i> <br><br><b>Grace B. Vogel <br></b><i>Executive Vice President <br>Member Firm Regulation, New York Stock Exchange, Inc. <br></i><br><b>Robert C. Errico</b> <br><i>Executive Vice President <br>Member Regulation, NASD</i> <br><br><b>R. Gerald Baker</b> <br><i>Executive Director <br>SIA Compliance &amp; Legal Division</i></span> </div> <br><br>Jun 20, 2007 4:00 PM June 2007 Monthly Luncheon <b><font size="3">SIFMA-CL Luncheon<br></font>Princeton Club</b> <div><b>June 18, 2007</b></div> <div> <div>&nbsp;</div> <div>&nbsp;</div> <div><b style="FONT-SIZE: 10pt">"An Update on the Examination Programs of the NASD, NYSE and SEC"</b>&nbsp;</div> </div> <blockquote dir="ltr" style="MARGIN-RIGHT: 0px"> <div> <li><span>Examination and Regulatory Priorities&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; </span> <li><span>Examination Findings </span> <li><span>Repetitive Industry Problems </span> <li><span>Examination Coordination </span> <li><span>Oversight Examinations</span><span> </span></li> </div> </blockquote> <div>&nbsp;</div> <div>Materials:&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; <a href="http://www.sifmacl.org/attachments/files/17/June Luncheon handout 1.pdf">June Monthly Luncheon Outline</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;</div> <div>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;<a href="http://www.sifmacl.org/attachments/files/16/June Luncheon Handout 2.pdf">June Monthly Luncheon Handout</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;</div> <div>&nbsp;</div> <div>&nbsp;</div> <div>Speakers:<br><br><span style="FONT-SIZE: 10pt"><b>Mary Ann Gadziala</b> <br><i>Associate Director, Office of Compliance Inspections and Examinations <br>United States Securities and Exchange Commission</i> <br><br><b>Grace B. Vogel <br></b><i>Executive Vice President <br>Member Firm Regulation, New York Stock Exchange, Inc. <br></i><br><b>Robert C. Errico</b> <br><i>Executive Vice President <br>Member Regulation, NASD</i> <br><br><b>R. Gerald Baker</b> <br><i>Executive Director <br>SIA Compliance &amp; Legal Division</i></span> </div> no http://www.sifmacl.org/en/art/35/ Shivann Schonland Wed, 20 Jun 2007 20:00:00 GMT