SIFMA's Electronic Communication and Records Forum is a half-day event addressing regulations, enforcement and examination implications, and the practicalities and pitfalls of electronic records in an ever-changing technological world. Panelists will include well-regarded regulators from the SEC, NASD, and NYSE, as well as industry legal, compliance, and technology experts.

This forum will address complex issues including:

·         Regulations & guidance governing retention, storage, and retrieval of electronic communications and records

·         Supervision of e-mail, instant messaging, and new technology (e.g., blogs, text messages, etc.)

·         Effective responses to regulatory requests for electronic records

·         Tensions between broker-dealer and investment adviser regulatory regimes

·         Electronic document retention and destruction policies

·         Lessons learned from recent enforcement actions and much more . . .

CLE

SIFMA has been certified by the New York State Continuing Legal Education Board as an Accredited Provider of continuing legal education in the state of New York. Parts of this program have been approved for CLE credits.

Fee reduction may be available for qualified registrants.