Annual SIFMA-CL Conference: “Top 10½” Examination Priorities for 2008

The April 1 General Session of the annual SIFMA-CL Conference, “Current SEC Issues,” featured SEC senior staff members Andrew “Buddy” Donohue, Lori Richards, Erik Sirri, Andrew Vollmer, and Shelley Parratt. David DeMuro of Lehman Brothers moderated.

During the panel discussion, Lori Richards, Director of the SEC’s Office of Compliance, Inspections, and Examinations, outlined her “Top 10½” Examination Priorities for 2008.

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