Foley's Market Regulation Series - Examination Priorities and Trading Issues

28 June 2012 Chicago, IL Past Event

Location

Foley & Lardner LLP
321 N. Clark Street
Suite 2800
Chicago, IL 60654

Contact Information

Katie Patterson
kpatterson@foley.com

Agenda

8:00 a.m. – 1:30 p.m.
How can you be sure what regulators are looking for? How can you protect your firm? How will rule making and interpretations impact your trading?

Please mark your calendars for a panel discussion on Examination Priorities and Trading Issues, presented by Foley’s Securities Enforcement & Litigation Practice.

This program, the second in our three-part Market Regulation Series, is an excellent opportunity to gain insight into these questions and more. The panelists, featuring regulators, industry professionals, and Foley’s seasoned attorneys, will discuss issues affecting overall compliance and trading in particular. The format is structured to allow a give-and-take on these issues and to provide in-depth discussion.

The schedule for this program is as follows:

8:00 a.m. – 8:30 a.m.
Breakfast and Registration

8:30 a.m. – 8:45 a.m.
Welcome and Greeting

8:45 a.m. – 9:45 a.m.
First Things First: FINRA’s Regulatory Priorities

  • Moderator:
    Joseph D. Edmondson, Jr., Partner, Securities Enforcement & Litigation Practice, Foley
  • Panelists:
    Richard Wallace, Partner, Securities Enforcement & Litigation Practice, Foley
    Carlotta A. Romano, Senior Vice President and Senior Regional Director, FINRA Member Regulation – Sales Practices

9:45 a.m. – 10:00 a.m.
Break

10:00 a.m. – 11:00 a.m.
It’s Not Your Father’s Exchange: Trading Issues

  • Moderator:
    Craig Long, Partner, Securities Enforcement & Litigation Practice, Foley
  • Panelists:
    Eric J. Swanson, Senior Vice President and General Counsel, BATS Global Markets, Inc.
    Peter Santori, Senior Counsel, FINRA

11:00 a.m. – 11:15 a.m.
Break

11:15 a.m. – 12:15 p.m.
Locating Answers for Short Sales Questions

  • Moderator:
    Phillip M. Goldberg, Partner, Securities Enforcement & Litigation Practice, Foley
  • Panelists:
    Stephanie Dumont, Senior Vice President and Director of Capital Markets Policy, FINRA Office of General Counsel
    George Simon, Partner, Securities Enforcement & Litigation Practice, Foley

12:15 p.m. – 1:30 p.m.
Roundtable Q & A

Lunch will be provided.

There is no cost to participate in this program, but pre-registration is required. Please contact Katie Patterson at kpatterson@foley.com for more information.

Foley & Lardner LLP will apply for CLE credit after the program, wherever applicable. Foley & Lardner LLP certifies that this activity has been approved for California MCLE credits by the State Bar of California in the amount of three General credits. Foley & Lardner LLP is a State Bar of California MCLE approved provider. Please note that participants must be in attendance on the date of the event; credit may not be obtained by viewing and/or listening to a program recording after the event.

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Foley's Market Regulation Series - Examination Priorities and Trading Issues

Location

Foley & Lardner LLP
321 N. Clark Street
Suite 2800
Chicago, IL 60654

Contact Information

Katie Patterson
kpatterson@foley.com

Agenda

8:00 a.m. – 1:30 p.m.