Speaking Engagement - SIFMA-CL New York Fall Compliance Seminar: The New SRO “FINRA”

Morgan Lewis partner Robert Mendelson will speak on "Fixed Income" and partner Ben Indek will speak on "The Examination Process from the Regulators’ Perspective."

Topics will include:

• Current Enforcement Issues
• Retail Compliance & Supervisory Issues for Broker-Dealers
• Current Issues for Investment Advisors & Mutual Funds
• Regulatory Exams from the Regulators’ Perspective
• Update on Security Offering Reforms
• Anti-Money Laundering
• Equity Trading
• Fixed Income
• Conflicts of Interest & Ethical Issues

When:
Tuesday, November 7

Where:
The New York Hilton and Towers
1335 Avenue of the Americas
New York, NY 10019

For more information, please visit the conference site.