On March 18 - 20, 2012, the Securities Industry and Financial Markets Association (SIFMA) Compliance & Legal Society hosted its annual seminar. Drawing some 1,300 securities industry participants and observers, the seminar constitutes one of the leading educational seminars of its kind.
To share information from this meeting, we are sending a summary of certain selected seminars and workshops to our clients and others. The topics discussed are listed below:
I. Regulatory and Compliance Issues
II. Regulatory Issues with Particular Products
III. Arbitrations
Please see full alert below for more information.
Firefox recommends the PDF Plugin for Mac OS X for viewing PDF documents in your browser.
We can also show you Legal Updates using the Google Viewer; however, you will need to be logged into Google Docs to view them.
Please choose one of the above to proceed!
LOADING PDF: If there are any problems, click here to download the file.
