Morgan Lewis Seminars

The Broker-Dealer CCO NYC Roundtable

September 29, 2010
01:00 AM ET

Please join Morgan Lewis for this roundtable designed to assist broker-dealer CCOs and other compliance professionals in grappling with today's tough compliance challenges.

Industry-knowledgeable broker-dealer panelists from Morgan, Lewis & Bockius LLP, ACA Compliance Group, and the industry will discuss topics relevant regulatory requirements.

Topics will include:

  • Regulatory examinations
    • Priorities
    • Hot topics
  • Regulatory reform
  • Recent rule proposals and FINRA guidance
  • Trade reporting challenges and practices

Speakers:

  • John V. Ayanian, Washington
  • Jennifer L. Klass, New York
  • Francois Cooke, Managing Director, ACA Compliance Group
  • Mark Steffensen, General Counsel, HSBC Securities (USA) Inc.

When:
September 29, 2010
Breakfast 8:30 a.m. | Session and discussion 9:00-11:00 a.m.

Where:
Morgan, Lewis & Bockius LLP
101 Park Avenue
New York, NY 10178

For more information or to register, please contact Dee Stafford at dstafford@acacompliancegroup.com.

CLE Credit:
Application for accreditation of this CLE program in NY, NJ, PA, IL, TX, VA, FL, MN, and several other states is pending.