C&L Society Boston Regional Seminar

On-Site Rates

  • Industry Member $300
  • Counsel Member $400
  • Special Member $400
  • Non-Member $600
  • Regulator $50

Overview

SIFMA’s Compliance & Legal Society 2018 Regional Seminars will be held in Boston at the Seaport Hotel on May 1. This one day seminar will feature presentations by leading securities regulators and industry professionals.

Program

7:15am – 5:20pm

Registration Desk Hours

7:15am – 8:15am

Networking Breakfast

8:15am – 8:30am

Participants

Ira D. Hammerman

Speaker

Ira D. Hammerman

Executive Vice President & General Counsel

SIFMA

Ira D. Hammerman’s Biography

8:30am – 9:30am

Participants

Paul G. Levenson, John T. Dugan, Kevin Kelcourse

Speakers

Paul G. Levenson

Director of the Boston Regional Office

U.S. Securities and Exchange Commission

John T. Dugan

Associate Regional Director for Enforcement

U.S. Securities and Exchange Commission

Kevin Kelcourse

Associate Regional Director, Compliance Inspection and Examination

U.S. Securities and Exchange Commission

9:30am – 10:45am

Participants

James R. Carroll, Jennifer A. Cardello, Bonnie McGuire, Pete S. Michaels, Carter Morse, Jason Tucker

Moderator

Panelists

Jennifer A. Cardello

Senior Counsel, Division of Enforcement

U.S. Securities and Exchange Commission

Jennifer A. Cardello’s Biography

Bonnie McGuire

Senior Director

FINRA

Bonnie McGuire’s Biography

Pete S. Michaels

Shareholder & Co-Chair, Financial Regulatory and Compliance Practice

Greenberg Traurig, LLP

Pete S. Michaels’s Biography

Carter Morse

Vice President & Associate General Counsel

Fidelity Investments

Carter Morse’s Biography

Jason Tucker

Associate General Counsel

Putnam Investments

Jason Tucker’s Biography

10:45am – 11:05am

11:05am – 12:20pm

Participants

David G. Tittsworth, Maggie Carey, Paul G. Cellupica, Lance C. Dial, Sean M. Murphy

Moderator

David G. Tittsworth

Counsel

Ropes & Gray LLP

Panelists

Maggie Carey

Vice President & Associate General Counsel

Fidelity Investments

Paul G. Cellupica

Deputy Director of the Division of Investment Management

U.S. Securities and Exchange Commission

Lance C. Dial

Managing Director & Counsel

Wellington Management

Sean M. Murphy

Partner

Milbank, Tweed, Hadley & McCloy LLP

12:20pm – 1:20pm

Networking Luncheon

1:20pm – 2:35pm

Participants

David C. Boch, Norman Ashkenas, Todd J. Coppi, CRCP, LeeAnn Gaunt, Melissa McKay, Robert Patterson

Moderator

Panelists

Norman Ashkenas

Senior Vice President & Chief Compliance Officer

Fidelity Investments

Norman Ashkenas’s Biography

Todd J. Coppi, CRCP

Associate Director

FINRA

Todd J. Coppi, CRCP’s Biography

LeeAnn Gaunt

Chief, Public Finance Abuse Unit Division of Enforcement

U.S. Securities and Exchange Commission

LeeAnn Gaunt’s Biography

Melissa McKay

Vice President, Managing Counsel

State Street Global Markets

Melissa McKay’s Biography

Robert Patterson

General Counsel

Citizen Securities Inc.

Robert Patterson’s Biography

2:35pm – 2:55pm

Networking Break

2:55pm – 4:10pm

Participants

David A. Forman, Susan Boudrot, Colin Forbes, Mayeti Gametchu, Michael H. Krimminger, Nicholas Losurdo

Moderator

David A. Forman

Chief Legal Officer

Fidelity Investments

David A. Forman’s Biography

Panelists

Susan Boudrot

Managing Director and Global CCO

TD Ameritrade Holding Corporation

Susan Boudrot’s Biography

Mayeti Gametchu

Assistant Regional Director

U.S. Securities and Exchange Commission

Mayeti Gametchu’s Biography

4:10pm – 4:20pm

Participants

Karen O’Toole

Speaker

Karen O’Toole

Senior Vice President & Deputy General Counsel

Fidelity Investments

Karen O’Toole’s Biography

4:20pm – 5:20pm

Networking Reception

Venue

Seaport Hotel

1 Seaport Ln
Boston, MA 02210

Hotel Accommodations

SIFMA has a room rate at the Seaport Hotel for $259.00 per night plus 14.45% tax rate. For individual reservations, call 877-732-7612 and reference SIFMA C&L Boston Regional. Individual guestroom reservations may also be made on the Reservations page of www.seaportboston.com or clicking here. All reservations should be received no later than Friday, April 6.

Accreditation

CLE Credit

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 will be available for CLE credits. Fee reduction may be available for qualified registrants. SIFMA will offer CLE credits for the following states:

  • Florida
  • New Jersey
  • New York

It is the responsibility of the registrant to comply with all rules and regulations governing the jurisdictions in which the attendee is seeking credit. Panel attendance must be certified by each registrant seeking CLE credits. Attendees do not need to certify after each panel. CLE Credit cannot be certified after the Seminar adjourns.

CLE Credit