October 6, 2010
The Dodd-Frank Wall Street Reform and Consumer Protection Act is the most far-reaching financial regulatory reform legislation in decades. Some of its effects are immediate; others are subject to SEC rulemaking and regulatory study. In either case, the Act is having a profound effect on the securities industry. This program will present a unique opportunity to learn the latest on the impact the legislation and subsequent rulemaking is having on the legal and compliance functions of broker-dealers and investment advisers. - Hear directly from senior staff at the SEC on the latest developments in rulemaking and regulatory policy initiatives that will impact the industry. - Hear from industry and legal experts on how they are responding to the changes brought by the legislation and to the opportunities to comment on pending and upcoming rulemaking initiatives. - Get practical guidance on what legal and compliance professionals should be doing to adapt to the new regulatory environment.
Online registration is currently closed.
Please either call 212-382-6663 or come directly to the program.
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SAVE MONEY: Do you want to save 20% on this class? Firms with fewer than 10 attorneys receive a 20% discount if 2 or more register for the same CLE program. Firms with 10 or more attorneys receive a 20% discount if 4 or more register for the same CLE program. If this discount applies, please do not register online. You must call the City Bar Center for CLE - 212-382-6663.
CLE
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New York, California and New Jersey Credit: 3.0 professional practice. This live program provides transitional/non-transitional credit to all attorneys.Illinois Credit: 2.75 general MCLE credits.
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