ALI-ABA To Host Program On Broker-Dealer Regulation In New York City

Monday, May 4, 2009 - 01:00

The Broker-Dealer Regulation seminar is the 31st Annual Advanced ALI-ABA Course of Study in the series and has been scheduled for Thursday and Friday, June 18 and 19 at Fordham University School of Law, 140 West 62nd Street. The times are from 8:00 a.m. to 5:15 p.m. on day one and from 8:30 a.m. to 4:15 p.m. on day two. The program is co-sponsored by the Securities Law Committee of the Federal Bar Association with the cooperation of the Philip D. Reed Chair Lecture Series and the Corporate Law Canter, Fordham University School of Law.

The keynote speaker will be Erik R. Sirri, director, Division of Trading and Markets, U.S. Securities and Exchange Commission. The faculty will include Larry E. Bergmann, Willkie Farr & Gallagher LLP; Michael P. Jamroz, Deloitte & Touche LLP; Michael Schussler, counsel and vice president, Federal Reserve Bank of New York.

The current financial crisis and the new focus on regulatory reform under the Obama administration will undoubtedly have a significant impact on broker-dealers. Throughout the program, moderators and panelists will present practical information and useful insights for lawyers and other professionals who are grappling with a rapidly evolving regulatory landscape.

The course includes panels on today's cutting-edge issues including bank and brokerage regulation, financial services reform, regulation of trading practices, as well as enforcement, self-regulation and fixed income. Panelists will also discuss the ethical responsibilities of legal and compliance professionals in the broker-dealer field.

For information about available CLE credits and registration fees, see CLE Events on The Metropolitan Corporate Counsel website at

To register visit or call 1-800-CLE-NEWS.

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