Morgan Lewis and the Bond Dealers of America invite you to join us for a fixed-income legal and compliance roundtable program.
This roundtable program is designed for fixed-income legal and compliance leadership at financial services and broker-dealer firms. The program will feature senior officials from the Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA), and Municipal Securities Rulemaking Board (MSRB) who will discuss current market structure and rulemaking initiatives, as well as recent enforcement actions and priorities.
Topics will include:
Andrew Southerling | Partner, Morgan Lewis Securities Enforcement and Litigation [link to his bio]
Angelique David | Senior Managing Director and General Counsel, Ziegler
Cynthia Friedlander | Director, Fixed Income Regulation, FINRA
Gail Marshall | Associate General Counsel, Enforcement Coordination, MSRB
Carl Tugberk | Assistant General Counsel, MSRB
Mark Zehner | Deputy Chief, Municipal Securities and Public Pensions Unit, SEC
The program will be followed by a networking reception.
CLE credit: CLE credit in FL, IL, NJ, NY, PA, TX, and VA is currently pending approval.