The SIFMA Regional Dealer Fixed Income Legal and Compliance Roundtable will take place on June 3, 2008 at the SIFMA New York City office located at 360 Madison Avenue, 17th Floor (entrance on 45th St.) from 4:00 p.m.- 6:00 p.m.
Topics to be addressed include:
- Coping with auction-rate securities
- Supervision, compliance, and due diligence
- Regulatory exam hot topics
- Mark-up regulations
- Litigation and enforcement issues
Following the meeting, Roundtable attendees are invited to join their colleagues and SIFMA staff for dinner at Morton's Restaurant, which is located on 45th Street between Madison and 5th Avenues.
2 NY CLE Credits Available
If you wish to sign up for the Roundtable, or for further information, please contact Rob Gannon, at firstname.lastname@example.org, or 212-313-1287.
Please note that the Roundtable will be held in advance of the 13th Annual Fixed Income Legal and Compliance Conference, June 4th at the Marriott Marquis.
To make a room reservation, you may simply call Marriott Reservations at (800) 843-4898. You must be sure to advise reservations that you are booking a room at the Marriott Marquis as an attendee of the SIFMA conference in order to receive the group room rate of $499.
Note: Requests for reservations at the special SIFMA group rate must be received prior to May 13, 2008. Reservations requests after the cut-off date will be based on availability at the group rate.