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SIFMA CL New York Fall Compliance Seminar
Navigating Change: Updates on Regulation in a New Environment
Tuesday, November 11th, 2008
We cordially invite you to attend the SIFMA Compliance & Legal Division’s New York Fall Compliance Seminar to be held at the New York Hilton on Tuesday, November 11th, 2008.
This one day seminar, entitled Navigating Change: Updates on Regulation in a New Environment, will feature presentations by industry professionals and leading securities regulators.
Topics will include:
· The Evolution of U.S. Securities Regulation
· Current Enforcement Issues
· Capital Markets-Trading Issues for the Global Firm
· Retail Brokerage and Advisory Issues
· Regulatory Examinations
Agenda
The SIFMA CL New York Fall Compliance Agenda can be accessed by clicking here.
Registration
Seminar Registration includes a continental breakfast, luncheon, attendee list, and all course materials.
Regulatory Member: $00.00
Industry Member: $50.00
Counsel Member: $50.00
Special Member: $50.00
Non-Member: $375.00
Please click here to register.
Registrants seeking CLE will be eligible in most jurisdictions that have a MCLE requirement.
Updates
Watch your email and the Division’s website for communication regarding future Seminars. For general information about this and other SIFMA Compliance & Legal Division educational programs, please call (212) 629-9393 ext. 206 or email events@sifmacl.org .
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