|04:30 PM - 06:00 PM ET|
Please join us for a panel discussion that will examine the law enforcement pivot at the SEC, the Broker-Dealer Task Force, and the fiduciary duty rule for broker-dealers.
This program will be of most value to in-house counsel and senior executives with a strategic compliance role.
This event is co-sponsored with the SEC Historical Society. A networking reception will follow the presentation.
An audio simulcast will be broadcasted via sechistorical.org.
4:30 PM \\ Registration
5:00 PM – 6:00 PM \\ Panel Discussion
6:00 PM \\ Reception
Andrew Calamari \\ Director, New York Regional Office, US Securities and Exchange Commission
Timothy Burke \\ Partner, Morgan Lewis
Merri Jo Gillette \\ Partner, Morgan Lewis
Jill Fisch \\ Perry Golkin Professor of Law and Co-Director, Institute for Law and Economics University of Pennsylvania Law School
For more information, please contact Krista Sumongkol at +1.202.739.5858 or firstname.lastname@example.org.
CLE credit: CLE credit in CA, FL, IL, NJ, NY, PA, TX, and VA is currently pending approval.