Senior Investor Protection Regional Workshop
Join SIFMA for a morning of practical learning and information sharing among key stakeholders on how best to protect our…
C&L Society New York Regional Seminar
Registration Closed
Overview
Join several hundred of your colleagues at the C&L Society Regional Seminar in New York City on November 1st at the Grand Hyatt. 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 – 5:40pm
Registration Desk Hours
8:00am – 8:30am
Sponsored by: Sidley Austin LLP
Sponsored by: Sidley Austin LLP
8:30am – 8:35am
Participants
Garry J. Stegeland
Speaker
8:35am – 9:20am
Participants
Christian T. Kemnitz, James McDonald, Steven Schwartz
Speakers
9:20am – 10:35am
Participants
Scott W. Anderson, Steven R. Burwell, Gina E. Hyde, Yoon-Young Lee, Allen Meyer
Moderator
Panelists
Participants
Jack McGuire, Brian F. Amery, Lisa M. Francomano, Julie M. Riewe, Jessica M. Phillips, Michael D. Solomon
Moderator
Panelists
10:55am – 11:55am
Participants
Ira D. Hammerman, Peggy Ho, Paul N. D. Thornell, Joe Wall
Moderator
Panelists
11:55am – 12:55pm
Sponsored by: McGuireWoods LLP
Sponsored by: McGuireWoods LLP
12:55pm – 2:10pm
Participants
Paul Ayd, Joshua Klein, Sean C. Davy, Mark E. Wolfe, Michael D. Wolk
Moderator
Panelists
Participants
Howard R. Plotkin, Ornella Bergeron, Jennifer Woods Burke, Esq., Ben A. Indek, Douglas Siegel
Moderator
Panelists
2:10pm – 3:10pm
Participants
Michelle Rhee, Thomas J. Hennessey, Noreen Kelly, Ilene Marquardt, James Q. Walker
Moderator
Panelists
3:10pm – 3:30pm
Sponsored by: Bressler, Amery & Ross, P.C.
Sponsored by: Bressler, Amery & Ross, P.C.
3:30pm – 4:30pm
Participants
Joshua E. Levine, J. Bradley Bennett, Andrew J. Ceresney, Scott W. Friestad, Jessica Hopper, Manal Sultan
Moderator
Panelists
4:30pm – 4:40pm
Participants
Brent H. Taylor
Speaker
Venue
Grand Hyatt New York
109 East 42nd Street
New York, NY 10017
Experience spacious guestrooms, top dining, and more at Grand Hyatt New York, centrally located in the heart of New York City, New York.
Hotel Accommodations
SIFMA has reserved a block of rooms at the Grand Hyatt New York.
To make a hotel reservation, please click here. or use the link below:
https://aws.passkey.com/go/CandLNewYorkRegionalSeminar
You may also contact The Grand Hyatt reservations department at 1-888-591-1234. Please reference the SIFMA Group Rate when speaking to a reservationist.
Rates will start at $319 per night and are quoted exclusive of applicable state and local tax (currently 14.75% and $3.50 occupancy charge).
Please note that the group rates are good through October 17, 2017 and only available on a first-come, first-served basis–they may sell out early! Once the block is sold out, the hotel’s market price applies regardless of the date booking.
Make sure to confirm all cancellation policies and forfeiture of deposits directly with the hotel when booking your reservation.
Sponsorship
Download a comprehensive guide to all sponsorship opportunities available at this conference.
Questions? Contact Diana Serri at 212.313.1258.
View Sponsor Profiles (PDF)
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:
- California
- Colorado
- Florida
- New Jersey
- New York