Securities Industry and Financial Markets Association "Compliance and Legal Division Seminar," "Securities Arbitration," Phoenix, Arizona
"Current Issues in Securities Regulation: The Hot Topics," Symposium at Columbia Law School Center on Corporate Governance, November 21, 2014
Mr. Goldfarb is a panel moderator and Mr.Melnick is a panelist for “What Hath It Wrought: Did the Financial Crisis Alter the Litigation & Enforcement Landscape”, Commercial Litigation panel, New York City Bar Association.
Mr. Comstock is a panelist for Regulatory Compliance Association “SEC Initiates Flash Boy Regulations – A Comprehensive Analysis.”
A former federal prosecutor and former SEC trial enforcement attorney will examine the federal government’s ongoing campaign against insider trading and securities fraud, and the risks presented to securities industry professionals. Based on actual insider trading cases they handled, Steven Feldman and Howard Elisofon will discuss techniques used by law enforcement to build its cases and ensnare individuals. They will provide an overview of the insider trading laws, along with examples of conduct that constitutes insider trading and examples of acceptable trading conduct. Feldman and Elisofon will suggest “best practices” to avoid liability, and examine gray areas that could lead to increased scrutiny. (New York Society of Security Analysts)
“SEC Enforcement’s Focus on the Asset Management Industry: Is it a New World?,” District of Columbia Bar, May 28, 2014