The SEC Under Mary Schapiro: Lessons From the First 100 Days

On January 27, 2009, Mary Schapiro was sworn in as the 29th Chairman of the U.S. Securities and Exchange Commission (SEC), taking the reins at a time of unprecedented upheaval and controversy not only in the markets and country at large, but at the SEC itself. What the SEC has done thus far and will do under Chairman Schapiro’s leadership will have far-ranging ramifications.

Please join us for a Foley Executive Briefing Series program exploring current SEC enforcement and litigation priorities and initiatives. Foley Partner Richard G. Wallace, who served under Chairman Schapiro at the National Association of Securities Dealers (NASD) and then FINRA as Vice President and Chief Counsel of Market Regulation and previously served as Branch Chief at the SEC’s Division of Enforcement, will provide his perspective on the present and future of the SEC under Chairman Schapiro. Mr. Wallace will be joined by the following panelists: Mr. Paul L. Matecki, Senior Vice President, General Counsel, Director of Compliance, and Secretary of Raymond James Financial, Inc., as well as by Foley Partner Samuel J. “Sandy” Winer, a former staff attorney and special counsel in the SEC’s Division of Enforcement and co-author of the treatise “Securities Enforcement: Counsel and Defense,” and Foley Partner Michael P. Matthews. All three Foley partners are members of Foley’s Securities Enforcement & Litigation Practice. The panel discussion will be followed by a question and answer session.

As the attorney contact for this event, Mr. Matthews can be reached in Foley’s Tampa office at mmatthews@foley.com or 813.225.4131.