Constellation C/D
This session will provide a general overview of various securities regulatory issues faced by broker dealers in connection with registrations, record-keeping, communications with the public, and supervisory issues. Also included will be a discussion of the regulatory role of the SEC, the NASDR and the exchanges, as they relate to a broker dealer’s activities.
Moderator:
Eileen T. Flaherty, President, FIA Law & Compliance Division
Panelists:
Dana G. Fleischman, Special Counsel, Cleary, Gottlieb, Steen & Hamilton;
Steven Lofchie, Partner, Davis Polk & Wardwell;
Howard R. Plotkin, Senior Vice President, Lehman Brothers Inc.;
Paul B. Uhlenhop, Partner, Lawrence, Kamin, Saunders & Uhlenhop
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