PresentationS

The following presentations are in PDF Format. Download Adobe Reader to view them.

Research Regulation (PDF)

Moderator:

John Ayanian
Partner
Morgan, Lewis & Bockius LLP

Panelists:

James Brigagliano
Associate Director
Office of Trading Practices
Division of Market Regulation
U.S Securities and Exchange Commission

William Jannace
Managing Director of Rule and Interpretive Standards
Member Regulation
Financial Industry Regulatory Authority

Philip Shaikun
Associate Vice President
Associate General Counsel
Financial Industry Regulatory Authority

Richard Sutcliffe
Head of Department
Institutional Business Policy
Financial Services Authority

Practical Issues for Research: Communications, Compensation and Conduct (PDF)

Moderator:

Ray Abbott
General Counsel
Research
Merrill Lynch & Co., Inc.

Panelists:

John Curtis
Managing Director
General Counsel
The Goldman Sachs Group, Inc.

Paula Dominick
Managing Director
Global Research
Bank of America Securities LLC

Mark Egert
Managing Director
Chief Compliance Officer
Cowen & Co.

Yoon-Young Lee
Partner
Wilmer Cutler Pickering Hale and Dorr LLP