SIFMA - Compliance &amp; Legal Society - Calendar Events http://www.sifmacl.org SIFMA - Compliance &amp; Legal Society Calendar Event RSS feed. . 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 01:41:19 GMT Events http://www.sifmacl.org/en/cev/60 SIFMA CL New York Fall Compliance & Legal Seminar on Nov 18, 2009 8:00 AM <div class="vevent"> <a class="url" href="http://www.sifmacl.org/en/cev/60"> <span class="summary">SIFMA CL New York Fall Compliance & Legal Seminar</span> </a><br/> <span class="tdtstart">Start Date:</span> <abbr class="dtstart" title="20091118T120000Z">Nov 18, 2009 8:00 AM</abbr> <br/> <span class="tdtend">End Time:</span> <abbr class="dtend" title="20091118T204500Z">Nov 18, 2009 4:45 PM</abbr> <br/> <span class="tlocation">Location:</span> <span class="location"> Marriott Marquis - 6th Floor Ballroom, New York, NY 10036</span> <br/> <span class="tdescription">Event Details:</span> <div class="description"><div align="center"> <table border="1" cellpadding="0" cellspacing="0" style="border-bottom: #0a8479 1.5pt outset; border-left: #0a8479 1.5pt outset; width: 6.25in; border-top: #0a8479 1.5pt outset; border-right: #0a8479 1.5pt outset" width="600"> <tbody> <tr> <td style="border-bottom: #0a8479 1pt inset; border-left: #0a8479 1pt inset; padding-bottom: 4.5pt; background-color: transparent; padding-left: 4.5pt; padding-right: 4.5pt; border-top: #0a8479 1pt inset; border-right: #0a8479 1pt inset; padding-top: 4.5pt"> <p align="center" style="margin: 0in 0in 0pt"> &nbsp;</p> <p align="center" style="margin: 0in 0in 0pt"> &nbsp;</p> <p align="center" style="margin: 0in 0in 0pt"> <span style="color: #000000"><span style="color: #000000">&nbsp;</span></span></p> <p align="center" style="margin: 0in 0in 0pt"> <strong><u><span style="font-size: 14pt"><span style="font-size: 22pt"><span style="color: #000000"><span style="color: #000000">REGISTRATION NOW OPEN!</span></span></span></span></u></strong></p> <p align="center" style="margin: 0in 0in 0pt"> <span style="color: #000000"><span style="color: #000000">&nbsp;</span></span></p> <p style="margin: 0in 0in 0pt"> &nbsp;</p> <p align="center" style="margin: 0in 0in 0pt"> <strong><span style="font-size: 18pt"><span style="color: #000000"><span style="color: #000000"><span style="font-size: 12pt"><span style="font-size: 14pt"><strong><span style="color: #000000"><span style="color: #000000">New York&nbsp;Fall Compliance &amp; Legal&nbsp;Seminar </span></span></strong></span></span></span></span></span></strong></p> <div align="center" style="margin: 0in 0in 0pt"> <strong><span style="font-size: 18pt"><span style="color: #000000"><span style="color: #000000"><span style="font-size: 12pt"><span style="font-size: 14pt">Securities Regulation in the&nbsp;New&nbsp;World Order</span> </span></span></span></span></strong> <div> <strong><span style="color: #000000"><span style="color: #000000; font-size: 10pt"><span style="font-size: 14pt"><span style="font-size: 12pt"><span style="font-size: 12pt">Wednesday,&nbsp;November 18<sup>th</sup>, 2009</span></span></span> </span></span></strong></div> </div> <div align="center" style="margin: 0in 0in 0pt"> <div> <strong><span style="color: #000000">&nbsp;</span></strong></div> </div> <div style="margin: 0in 0in 0pt"> <br> <span style="color: #000000"><span style="color: #000000"><span style="font-size: 10pt">We cordially invite you to attend the SIFMA Compliance &amp; Legal Division&rsquo;s&nbsp;<strong>New York Fall</strong> <strong>Compliance &amp; Legal</strong>&nbsp;<strong>Seminar</strong>&nbsp;to be held at the&nbsp;<strong>Marriott Marquis</strong>&nbsp;on Wednesday,&nbsp;November 18<sup>th</sup>, 2009.&nbsp;&nbsp;<br> <br> This one day seminar, entitled&nbsp;<strong>Securities Regulation in the</strong> <strong>New World&nbsp;Order</strong>, will feature presentations by industry professionals and leading securities regulators. Topics will include:</span>&nbsp;<br> </span></span></div> <div style="margin: 0in 0in 0pt 40px"> <span style="color: #000000"><span style="color: #000000"><span style="color: black; font-size: 11pt">&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;</span>&nbsp;</span></span></div> <div align="left" style="margin: 0in 0in 0pt 40px"> <font color="#000000"><span style="color: #333333"><span style="color: #333333"><font color="#000000"><span style="color: #808080"><span style="color: #808080"><span style="color: #000000"><span style="color: #000000"><span style="font-family: symbol; font-size: 10pt; mso-fareast-font-family: symbol; mso-bidi-font-family: symbol"><span style="mso-list: ignore">&middot;<span style="font: 7pt 'times new roman'">&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; </span></span></span><span style="font-family: 'arial', 'sans-serif'; color: black; font-size: 10pt">Enforcement and Litigation - The Aftermath&nbsp;</span><span style="font-family: 'arial', 'sans-serif'; font-size: 10pt"> </span></span></span></span></span></font></span></span></font></div> <div align="left" style="margin: 0in 0in 0pt 40px"> <font color="#000000"><span style="color: #333333"><span style="color: #333333"><font color="#000000"><span style="color: #808080"><span style="color: #808080"><span style="color: #000000"><span style="color: #000000"><span style="font-family: symbol; font-size: 10pt; mso-fareast-font-family: symbol; mso-bidi-font-family: symbol"><span style="mso-list: ignore">&middot;<span style="font: 7pt 'times new roman'">&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; </span></span></span><span style="font-family: 'arial', 'sans-serif'; color: black; font-size: 10pt">Institutional Sales and Trading - Business as Usual?&nbsp;</span><span style="font-family: 'arial', 'sans-serif'; font-size: 10pt"> </span></span></span></span></span></font></span></span></font></div> <div align="left" style="margin: 0in 0in 0pt 40px"> <font color="#000000"><span style="color: #333333"><span style="color: #333333"><font color="#000000"><span style="color: #808080"><span style="color: #808080"><span style="color: #000000"><span style="color: #000000"><span style="font-family: symbol; font-size: 10pt; mso-fareast-font-family: symbol; mso-bidi-font-family: symbol"><span style="mso-list: ignore">&middot;<span style="font: 7pt 'times new roman'">&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; </span></span></span><span style="font-family: 'arial', 'sans-serif'; color: black; font-size: 10pt">Retail Brokerage and Advisory Issues - New Products, New Problems?</span><span style="font-family: 'arial', 'sans-serif'; font-size: 10pt"> </span></span></span></span></span></font></span></span></font></div> <div align="left" style="margin: 0in 0in 0pt 40px"> <font color="#000000"><span style="color: #333333"><span style="color: #333333"><font color="#000000"><span style="color: #808080"><span style="color: #808080"><span style="color: #000000"><span style="color: #000000"><span style="font-family: symbol; font-size: 10pt; mso-fareast-font-family: symbol; mso-bidi-font-family: symbol"><span style="mso-list: ignore">&middot;<span style="font: 7pt 'times new roman'">&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; </span></span></span><span style="font-family: 'arial', 'sans-serif'; color: black; font-size: 10pt">Update on Legal Ethics</span><span style="font-family: 'arial', 'sans-serif'; font-size: 10pt">&nbsp;&nbsp;</span></span></span></span></span></font></span></span></font></div> <div align="left" style="margin: 0in 0in 0pt 40px"> <font color="#000000"><span style="color: #333333"><span style="color: #333333"><font color="#000000"><span style="color: #808080"><span style="color: #808080"><span style="color: #000000"><span style="color: #000000"><span style="font-family: symbol; font-size: 10pt; mso-fareast-font-family: symbol; mso-bidi-font-family: symbol"><span style="mso-list: ignore">&middot;<span style="font: 7pt 'times new roman'">&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; </span></span></span><span style="font-family: 'arial', 'sans-serif'; color: black; font-size: 10pt">Current Regulatory Exams and Priorities</span><span style="font-family: 'arial', 'sans-serif'; font-size: 10pt">&nbsp;&nbsp;</span></span></span></span></span></font></span></span></font></div> <div align="left" style="margin: 0in 0in 0pt 40px"> <font color="#000000"><span style="color: #333333"><span style="color: #333333"><font color="#000000"><span style="color: #808080"><span style="color: #808080"><span style="color: #000000"><span style="color: #000000"><span style="font-family: symbol; font-size: 10pt; mso-fareast-font-family: symbol; mso-bidi-font-family: symbol"><span style="mso-list: ignore">&middot;<span style="font: 7pt 'times new roman'">&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; </span></span></span><span style="font-family: 'arial', 'sans-serif'; color: black; font-size: 10pt">The Changing Landscape of Regulation</span><span style="font-family: 'arial', 'sans-serif'; font-size: 10pt"> &nbsp;<o:p></o:p></span></span></span></span></span> </font></span></span></font></div> <div style="margin: 0in 0in 0pt 40px"> <font color="#000000"><span style="color: #333333"><span style="color: #333333"><font color="#000000">&nbsp;</font></span></span></font></div> <p style="text-indent: -0.25in; margin: 0in 0in 0pt"> &nbsp;</p> <div style="margin: 0in 0in 0pt"> <strong><u><span style="font-size: 10pt"><span style="color: #000000"><strong><u><span style="font-size: 10pt">Agenda&nbsp;</span> </u></strong></span></span></u></strong> <div> <strong><u><br> </u></strong><span style="font-size: 10pt"><span style="color: #333333"><span style="font-size: 10pt">To view the Agenda, please </span><span style="font-size: 10pt">click </span></span></span><span style="font-size: 10pt"><a href="http://www.iecgny.com/SIFMACL/NY Regional 09/Agenda.pdf" title="here"><strong>here</strong></a><strong>.</strong></span><br> <br> <strong><u><span style="font-size: 10pt"><span style="color: #000000">Registration -&nbsp;Now Open!</span></span></u></strong></div> </div> <p style="margin: 0in 0in 0pt"> <span style="font-size: 10pt"><span style="color: #000000">Seminar Registration includes a continental breakfast, luncheon, attendee list, and all course materials.&nbsp;&nbsp; </span></span></p> <p style="margin: 0in 0in 0pt"> <span style="font-size: 10pt"><span style="color: #000000">&nbsp;</span></span></p> <p style="margin: 0in 0in 0pt"> <span style="font-size: 10pt"><span style="color: #000000">To Register, please click</span> </span><a href="https://members.siacl.com/events/EV04EventDetail.aspx?eventID=1550"><strong><span style="color: blue"><span style="font-size: 10pt">here</span></span></strong></a><span style="font-size: 10pt">.</span></p> <p style="margin: 0in 0in 0pt"> <span style="font-size: 10pt">&nbsp;&nbsp;</span></p> <p style="margin: 0in 0in 0pt"> <span style="font-size: 10pt"><span style="color: #000000">Regulatory Member:&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; &nbsp;&nbsp; $00.00</span></span></p> <p style="margin: 0in 0in 0pt"> <span style="font-size: 10pt"><span style="color: #000000">Industry Member:&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; &nbsp;&nbsp; $50.00</span></span></p> <p style="margin: 0in 0in 0pt"> <span style="font-size: 10pt"><span style="color: #000000">Counsel Member:&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; &nbsp;&nbsp; $50.00</span></span></p> <p style="margin: 0in 0in 0pt"> <span style="font-size: 10pt"><span style="color: #000000">Special Member:&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; &nbsp;&nbsp; $50.00</span></span></p> <p style="margin: 0in 0in 0pt"> <span style="font-size: 10pt"><span style="color: #000000">Non-Member:&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; $375.00</span></span></p> <p style="margin: 0in 0in 0pt"> <span style="font-size: 10pt"><span style="color: #000000">&nbsp;</span></span></p> <p style="margin: 0in 0in 0pt"> <span style="font-size: 10pt"><span style="color: #000000">Registrants seeking CLE will be eligible in most jurisdictions that have a MCLE requirement.</span></span></p> <p style="margin: 0in 0in 0pt"> <span style="font-size: 10pt"><span style="color: #000000">&nbsp;</span></span></p> <p style="margin: 0in 0in 0pt"> <strong><u><span style="font-size: 10pt"><span style="color: #000000">Seminar Location</span></span></u></strong></p> <p style="margin: 0in 0in 0pt"> <strong><span style="font-size: 10pt"><span style="color: #000000">Marriott Marquis</span></span></strong></p> <p style="margin: 0in 0in 0pt"> <span style="font-size: 10pt"><span style="color: #000000">1535 Broadway</span></span></p> <div style="margin: 0in 0in 0pt"> <span style="font-size: 10pt"><span style="color: #000000">New York,&nbsp;NY 10036</span> </span> <div> <span style="font-size: 10pt"><span style="color: #333333"><span style="color: #333333">6th Floor Ballroom</span></span></span></div> </div> <p style="margin: 0in 0in 0pt"> <span style="font-size: 10pt">&nbsp;&nbsp;</span></p> </td> </tr> </tbody> </table> </div> </div> </div> <br/> <div class="vcard"> <a class="fn">Marriott Marquis - 6th Floor Ballroom <br/> <div class="adr"> <div class="street-address">1535 Broadway</div> <span class="locality">New York</span>, <span class="region">NY</span> <span class="postal-code">10036</span> </div> </a></div> http://www.sifmacl.org/en/cev/60 Wed, 18 Nov 2009 12:00:00 GMT