Friday, May 9, 2008 at 8:30 AM

13. Broker Dealer Regulation

BALTIMORE A This session will discuss developments in the past year relating to various securities regulatory issues faced by broker dealers. The discussion will include issues in connection with rule-making initiatives by the SEC and FINRA. Moderator: Anthony Leitner, Attorney, A J Leitner and Associates Speakers: Denise Landers, Senior Special Counsel, Division of Trading and Markets, Securities Exchange Commission Steven Lofchie, Partner, Cadwalader, Wickersham & Taft Steven Luparello, Senior Executive Vice President, Regulatory, Financial Industry Regulatory Authority