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