SIFMA CL New York Fall Compliance & Legal Seminar

Wednesday 18-Nov-09 8:00 AM to 4:45 PM EST

Marriott Marquis - 6th Floor Ballroom

1535 Broadway
New York NY 10036
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Event Description

REGISTRATION NOW OPEN!

New York Fall Compliance & Legal Seminar

Securities Regulation in the New World Order

Wednesday, November 18^th, 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 18^th, 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