| Sunday, March 19, 2017 - Wednesday, March 22, 2017 |
The SIFMA Compliance and Legal Society's Annual Seminar is the premier event for Financial Services compliance and legal professionals.
Private Client Firms: Key Legal and Regulatory Issues
Tuesday, March 21, 2017 | 10:20 AM–11:35 AM
Timothy Burke, Partner
Investment Adviser Considerations for Retail
Tuesday, March 21, 2017 | 10:20 AM–11:35 AM
Steven Stone, Partner
View the presentation >> | View the supplement >>
Fixed Income Sales and Trading
Tuesday, March 21, 2017 | 11:55 AM–1:10 PM
Elizabeth Baird, Partner
Ask FINRA: A Panel of Senior FINRA Officials Respond to Your Questions
Wednesday, March 22, 2017 | 9:15 AM–10:30 AM
Ben Indek, Partner
Ask the Experts: General Q&A on the DOL
Wednesday, March 22, 2017 | 10:45 AM–12:00 PM
Daniel Kleinman, Partner
CLE credit: Please see event website for detailed CLE credit information.