You are invited to join Hannah Berkowitz, James Dombach and Paul Merolla of Murphy & McGonigle, along with guest instructors Guy Miller of Citadel Securities and Etienne Barg-Townsend of KGS-Alpha Capital Markets, L.P., for a breakfast CLE program. We will review the regulatory landscape relevant to best execution, mark-ups and customer communications and will offer practical insight and tips on these important regulatory issues.
SIFMA Compliance and Legal Division Annual Seminar, Phoenix, Arizona, “Ethical Issues for the Securities Lawyer” Panel.
"Ethics for the Business Attorne", SIFMA Compliance and Legal Division Annual Seminar
"Electronic Communications" SIFMA Compliance and Legal Division Annual Seminar Panel - The Compliance and Legal Division of the Securities Industry and Financial Markets Association (SIFMA-CL) held their 2009 Annual Seminar in Phoenix, Arizona on March 22 through March 25.
“Capital Markets - Trading Issues for the Global Firm” Panel, SIFMA Compliance and Legal Division New York Fall Compliance Seminar.
“Internal Compliance Examinations (Large Firms)” Panel, NSCP 2008 National Membership Meeting, Philadelphia, Pennsylvania.