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Investor Protection of Dodd Frank Act and Enhanced Professionalism -- ONLINE REGISTRATION IS NOW CLOSED, LIMITED AT DOOR REGISTRATION IS AVAILABLE

Tuesday, March 25, 2014, 5:30 PM - 9:00 PM

Registration for this course is now closed.

Intended Audience:

Non-profit/public sector may  attend for $25. Register as 'law office staff'

4 CPE Credits in Specialized Knowledge are available for Accountants

Click Here to download order form

Location: 2nd Floor Auditorium

Course ID: C032514

Credits: 4 NJ Credits: 2 Ethics; 2 General
4 NY Credits 2 Ethics; 2 PP; Transitional and Non-transitional

Course Description:


Joseph Borg, Who Investigated the Self-Proclaimed Wolf of Wall Street to Introduce the Program via Video

Hear Joseph Borg, Director of the Alabama Securities Commission, who headed a long investigation of Stratton Oakmont and the self-proclaimed Wolf of Wall Street, Jordan Belfort, speak via video conferencing about what the state securities regulators are doing to currently maximize investor protection and meet new challenges.

Then our expert faculty as they discuss other key issues regarding investor protection under the Dodd Frank Act.


Panels will include:

Panel 1: Disclosure and Market Regulation

Panel 2: The Fiduciary Duty Standard for Broker-Dealers and Investment Advisers: How to implement The Standards in a Meaningful Way

Panel 3: Securities Arbitration: What does the future hold for mandatory arbitration? Should FINRA parties have the right to appeal, as they can do now at the AAA: When should arbitrators refer matters to FINRA's  disciplinary arm?

Panel 4: Professional Responsibility and Discipline for Lawyers, Accountants and Compliance Professionals: The Key Gate Keepers to Maintaining Capital Market Integrity

Introductory Speaker: Joseph Borg, Director, of the Alabama Securitites Commission

Program Chair and Faculty: Norman Arnoff, Esq.

Faculty: Jason Flemmons, FTI Consulting; George Friedman, Fordham Law School; Brian Graifman, Gusrae Kaplan; Paul Immerman, Sherry & O'Neill;  Tess Koncick, former SEC staffer, former Merrill Lynch attorney and 40 Act specialist; Don Malawsky, former Regional Administrator, NY Regional Office and former Sr. Counsel at Merrill Lynch; David Robbins, Kaufmann Gildin & Robbins LLP; Knut Rostad, Institute for the Fiduciary Standard; James Rothenberg, former SEC and NYSE staffer, NYSE specialist and noted expert witness; Seth Taube, Baker Botts; Meryl Wiener, Warshaw Burstein, LLP

 

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