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REGISTRATION NOW OPEN!
New York Fall Compliance & Legal Seminar
Securities Regulation in the New World Order
Wednesday, November 18th, 2009
We cordially invite you to attend the SIFMA Compliance & Legal Division’s New York Fall Compliance & Legal Seminar to be held at the Marriott Marquis on Wednesday, November 18th, 2009.
This one day seminar, entitled Securities Regulation in the New World Order, will feature presentations by industry professionals and leading securities regulators. Topics will include:
· Enforcement and Litigation - The Aftermath
· Institutional Sales and Trading - Business as Usual?
· Retail Brokerage and Advisory Issues - New Products, New Problems?
· Update on Legal Ethics
· Current Regulatory Exams and Priorities
· The Changing Landscape of Regulation
Agenda
To view the Agenda, please click here.
Registration - Now Open!
Seminar Registration includes a continental breakfast, luncheon, attendee list, and all course materials.
To Register, please click here.
Regulatory Member: $00.00
Industry Member: $50.00
Counsel Member: $50.00
Special Member: $50.00
Non-Member: $375.00
Registrants seeking CLE will be eligible in most jurisdictions that have a MCLE requirement.
Seminar Location
Marriott Marquis
1535 Broadway
New York, NY 10036
6th Floor Ballroom
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