Compliance and Legal Society Fall Seminar
June 22, 2011
- Industry members - $ 225
- Counsel members - $ 350
- Non-member firms - $ 600
- Regulators - FREE
FEATURED GUEST SPEAKER
Commissioner Elisse B. Walter
U.S. Securities and Exchange Commission
We cordially invite you to attend the SIFMA Compliance & Legal Society Fall Seminar.
Topics Will Include:
- Regulatory Reform
- Identifying and Managing Regulatory Risk
- Retail Brokerage and Advisory Issues
- Institutional Legal and Compliance Issues
- Litigation and Enforcement Developments
- Ethical Issues for the Securities Lawyer
Registration questions? Call Rebecca Gally at 212.313.1121 or rgally@sifma.org
Program question? Contact Amal Aly at 212.313.1268 or aaly@sifma.org
Sponsorship Opportunities? Contact Diana Serri at 212.313.1258 or dserri@sifma.org
