• 2014 Sponsor
    Barnes & Thornburg L&C 2014
  • 2014 Sponsor
    Bingham_LC
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    Cadwalader L&C 2014
  • 2014 Sponsor
    Cleary Gottlieb L&C 2014
  • 2014 Sponsor
    CME L&C 2014
  • 2014 Sponsor
    Covington_LC
  • 2014 Sponsor
    Davis Polk L&C 2014
  • 2014 Sponsor
    DLA Piper L&C 2014
  • 2014 Sponsor
    Foley_LC
  • 2014 Sponsor
    ice_LC
  • 2014 Sponsor
    KL-Gates_LC
  • 2014 Sponsor
    katten_LC
  • 2014 Sponsor
    Latham L&C 2014
  • 2014 Sponsor
    Milbank L&C 2014
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    morganlewis_lc
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    Morrison & Foerster L&C 2014
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    NFA_LC
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    proskauer_lc
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    Schiff Hardin L&C 2014
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    Skadden L&C 2014
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    Stroock & Stroock & Lavan L&C 2014
  • 2014 Sponsor
    sutherland_LC
  • 2014 Sponsor
    WFG L&C 2014
  • 2014 Sponsor
    wilmerHale_lc
  • 2014 Media Sponsor
    Compliance Intelligence L&C 2014
L&C 2010 Program
Friday, April 30, 2010 at 10:30 AM
16. SEC and FINRA Regulatory Hot Issues Update

Woodrow Wilson C/D

This session will discuss significant 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 and enforcement matters of the SEC and FINRA. Among the topics to be addressed are proprietary trading, FOREX leverage limitations, “naked access”, dark pools and flash trading, insider trading and short sales.


Moderator:
Charles Mills, Partner, K&L Gates

Speakers:
Brandon Becker, Executive Vice President and Chief Legal Officer, TIAA-CREF
Bradley Bondi, Counsel to Commissioner, Securities and Exchange Commission, and Adjunct Professor of Law, Georgetown Law Center and George Mason School of Law
Eugene Goldman, Partner, McDermott Will & Emery
Gary Goldsholle, Vice President and Associate General Counsel, Financial Industry Regulatory Authority
David Shillman, Associate Director, Division of Trading and Markets, U.S. Securities Exchange Commission

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Suite 600
Washington, D.C. 20006
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