Summary of Selected Programs from SIFMA Compliance & Legal Division’s 2011 Annual Seminar


On March 20-23, 2011, the Securities Industry and Financial Markets Association (SIFMA) Compliance & Legal Society hosted its annual seminar. Drawing some 1,700 securities industry participants and observers, the seminar constitutes one of the leading educational seminars of its kind.

Understanding that not all of our clients and friends attend the seminar, and even those who do cannot take part in every program and workshop, we are sending a summary of certain selected seminars and workshops to our clients and others. The topics discussed are listed below:

I. General Regulatory and Compliance Issues

II. Regulatory Issues with Particular Products

III. Particular Regulatory Issues

IV. Exams and Investigations

V. Arbitrations

VI. Issues for Securities Attorneys

We hope you will find the summary that follows informative. As always, if you have any questions about our summary, please contact any of the attorneys listed at the end of the summary.

Feel free to pass this Legal Alert along to your colleagues who may have interest in the SIFMA conference discussions; click here to sign up for Legal Alerts on this and other topics of interest.

Please see full article below for more information.

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DISCLAIMER: Because of the generality of this update, the information provided herein may not be applicable in all situations and should not be acted upon without specific legal advice based on particular situations.

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