SIFMA Ops & Tech Town Hall Meeting & Networking Reception
All members of the Operations & Technology Society (comprised of Corporate Actions Section, Credit & Margin Section, Customer Account Transfer…
C&L Society New York Regional Seminar
Early Bird Rates – Until 10/5/18
- Industry Member $325
- Counsel Member $450
- Special Member $450
- Regulator $50
- Non-Member $700
Overview
Join several hundred of your colleagues at the C&L Society Regional Seminar in New York City on November 5th at the Marriott Marquis. This one day seminar will feature presentations by leading securities regulators and industry professionals. CLE credits will be offered.
Topics Include:
- Corporate and Investment Bank Current Issues
- Current Issues in Wealth Management & Investment Advisory
- Washington Update
- Sales & Trading
- Hot Topics in Compliance
- Ethics
- Enforcement
Pricing
| Early Bird Rates | $325 |
|---|---|
| Pre-Conference Rates | $450 |
| On-Site Rates | $550 |
| Early Bird Rates | $450 |
|---|---|
| Pre-Conference Rates | $650 |
| On-Site Rates | $750 |
| Early Bird Rates | $450 |
|---|---|
| Pre-Conference Rates | $650 |
| On-Site Rates | $750 |
| Early Bird Rates | $50 |
|---|---|
| Pre-Conference Rates | $50 |
| On-Site Rates | $50 |
| Early Bird Rates | $700 |
|---|---|
| Pre-Conference Rates | $850 |
| On-Site Rates | $950 |
| Industry Member | Counsel Member | Special Member | Regulator | Non-Member | |
|---|---|---|---|---|---|
| Early Bird Rates | $325 | $450 | $450 | $50 | $700 |
| Pre-Conference Rates | $450 | $650 | $650 | $50 | $850 |
| On-Site Rates | $550 | $750 | $750 | $50 | $950 |
Program
8:00am – 5:45pm
Registration Desk Hours
8:00am – 8:35am
Networking Breakfast
8:35am – 8:45am
Participants
Barbara Armeli
Speaker
8:45am – 10:00am
Participants
Scott W. Anderson, Craig Barrack, Yoon-Young Lee
Panelists
Morning Break-Out Session 2: Current Issues in Wealth Management & Investment
10:00am – 10:20am
Sponsored by Bressler, Amery & Ross
Sponsored by Bressler, Amery & Ross
10:20am – 11:20am
Participants
Ira D. Hammerman, Andy Blocker, Jeffrey T. Brown, John Savercool, Michael Thompson
Moderator
Panelists
11:20am – 12:05pm
Participants
Brett Redfearn
Speaker
12:05pm – 1:05pm
Sponsored by McGuireWoods LLP
Sponsored by McGuireWoods LLP
1:05pm – 2:20pm
Participants
Neil Rosolinsky, Angie Karna, Theodore R. Lazo, Kate Lesker
Moderator
Panelists
Participants
Joellen Valentine, Cheryl J. Scarboro, Daniel Silver, Michael Stone
Moderator
Panelists
2:20pm – 3:20pm
Participants
Susan Boudrot, Lisa M. Francomano, Ben A. Indek, Douglas Siegel, Michael D. Solomon
Moderator
Panelists
3:20pm – 3:40pm
Sponsored by Morgan, Lewis & Bockius LLP
Sponsored by Morgan, Lewis & Bockius LLP
3:40pm – 4:40pm
Participants
Susan F. Axelrod, Mark D. Knoll, Ilene Marquardt, Steven Peikin, Susan A. Schroeder
Moderator
Panelists
4:40pm – 4:40pm
Participants
Brent H. Taylor
Speaker
Venue
New York Marriott Marquis
1535 Broadway
New York, NY 10036
Surround yourself with the sights and sounds of the city at New York Marriott Marquis. Get relaxed and energized simultaneously as you step into some of the largest guest rooms in NYC, amid the hustle and bustle of famed Broadway.
Related Resources
Program
-
PDFDownload 2018 Program
2018 Program
Download and print the 2018 program.
Sponsorship
Stay tuned for a comprehensive guide to all sponsorship opportunities available at this conference.
Questions? Contact Diana Serri at 212.313.1258.
Gold
Silver
Sponsors
SIFMA's Strategic Partners
Media
Note: The general sessions of the C&L New York Regional Seminar are open to the press, however the breakout sessions will be closed.
Media Inquiries
Contact Liz Pierce at 212.313.1173.
Media Registration
Contact Emily Reinus at 212.313.1339.
Policy
View SIFMA’s official press policy.
Media Partnerships
Custom media partnership opportunities are available for almost every objective and budget, with benefits including complimentary event passes. Contact Jeana Dollear at 212.313.1263.
Accreditation
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.
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.
When registering for the conference, make sure to check the box for CLE Credit. There is an additional charge of $75 for CLE Credit and you may select up to three states to receive CLE credit.
SIFMA will seek CLE Credit for this program in the following states:
- Florida
- New Jersey
- New York