|
Dear Industry Colleague,
On behalf of the SIFMA Compliance and Legal Division, I would like to invite you to our Los Angeles Topical Breakfast Seminar. Do not miss this opportunity to hear firsthand the examination agendas and findings of the SEC, FINRA and state regulators. This complimentary breakfast seminar will be hosted by Morgan Stanley. Sign up now, space is extremely limited.
When: Wednesday, August 13th
8:30 am – 10:30 am
Where: Morgan Stanley
335 North Maple Drive, Suite 150
Beverly Hills, CA 90210.
Speakers:
Michael G. Rufino
Senior Vice President, Member Regulation, Sales Practice Review
Financial Industry Regulatory Authority (FINRA)
Susan Axelrod
Senior Vice President, Office of Regulatory Operations
Financial Industry Regulatory Authority (FINRA)
David A. Greene
Director, District 2
Financial Industry Regulatory Authority (FINRA)
(Southern California that part of the state south or east of the counties of Monterey, San Benito, Fresno, and Inyo),
southern Nevada (that part of the state south or east of the counties of Esmeralda and Nye) and the former U.S. Trust Territories
Reservations:
If you are able to attend please RSVP to Shana Madoff at smadoff@madoff.com or call 212-230-2411. Space is limited so respond as soon as you can.
Sincerely,
Shana Madoff
Executive Committee Member, SIFMA - Compliance & Legal Division
|
