| Sunday, March 13, 2016 - Wednesday, March 16, 2016 |
The SIFMA Compliance and Legal Society's 48th Annual Seminar is the premier event for Financial Services compliance and legal professionals, and features over 65 informative panels.
Promoting Diversity and Inclusion
Monday, March 14 | 11:55 AM – 1:10 PM
Grace Speights, Partner
Ask FINRA: A Panel of Senior FINRA Officials Respond to Your Questions
Tuesday, March 15 | 10:20 AM – 11:35 AM
Ben Indek, Partner
Private Client Sales Practice Issues
Tuesday, March 15 | 11:55 AM – 1:10 PM
Tim Burke, Partner
Investment Adviser Considerations for Retail
Tuesday, March 15 | 11:55 AM – 1:10 PM
Steve Stone, Partner
Fixed Income Sales and Trading
Wednesday, March 16 | 10:20 – 11:35 AM
Peter Chan, Partner
Private Client: Managing Regulatory Exams and Avoiding Enforcement Actions
Wednesday, March 16 | 11:50 AM – 1:05 PM
David Boch, Partner