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Learn How Wall Street's Self-Regulators Work: Second Annual Bar Association Course Offered on February 10, 2003
Learn how to effectively represent clients before the NASD, the New York Stock Exchange, and other securities-industry self-regulatory organizations (SROs). A veteran faculty of regulators and defense attorneys will guide you through the intricacies and subtleties. Excellent primer for attorneys, reporters, and industry personnel.
SELF-REGULATORY ORGANIZATION PRACTICE:
DEFUSING THE FLASHPOINTS
Monday, February 10 2003 9-5 p.m.
The Association of the Bar of the City of New York
42 West 44th Street
New York, NY 10036-6604
212-382-6663 / http://www.abcny.org
The regulation of Wall Street is on the front pages of todays newspapers and featured on tonights newscast, replete with lurid stories about multimillion dollar customer lawsuits and high-profile enforcement actions. Learn how to effectively represent clients before the NASD, the New York Stock Exchange, and other securities-industry self-regulatory organizations (SROs). A veteran faculty of regulators and defense attorneys will guide you through the intricacies and subtleties of:
Investigations/Examinations;
On-the-Record Interviews (OTR); and
Disciplinary Hearings/Appeals.
Emphasis on ways to defuse the so-called flashpoints" that erupt within SRO practice ---each such scenario will be presented in mock fashion and then subjected to the panels commentary. Regulators and industry attorneys will explain their approaches and engage in a lively banter defending their respective positions. Whether youre a recently-admitted attorney seeking basic skills or an experienced practitioner interested in learning the finer points of this expanding practice area, this program will prove helpful. An especially useful program for plaintiffs/claimants attorneys seeking a better understanding of the SRO regulatory process. We promise a refreshing nuts-and-bolts seminar --- light on the war stories and heavy on skills.
Scheduled to Appear
MARY BRIENZA: Managing Director of Regulatory Quality Review/Corporate Audit Division of the New York Stock Exchange.
DAVID M. FITZGERALD: is Vice President and Deputy Chief Hearing Officer in NASD Regulation, Inc.s Office of Hearing Officers, which is responsible for adjudicating NASD Regulation disciplinary proceedings nationwide.
AEGIS J. FRUMENTO: a partner with the law firm of Duane Morris LLP, where he oversees the firms broker-dealer practice.
BARRY R. GOLDSMITH: NASD Regulation, Inc.s Executive Vice President for Enforcement. He serves as the organizations chief enforcement official responsible for formulating its national enforcement policy and overseeing its prosecution of disciplinary proceedings at the national and district levels.
NANCY REICH JENKINS: Chief Trial Counsel for the Division of Enforcement of the New York Stock Exchange, Inc.
MARTIN H. KAPLAN: managing partner of Gusrae, Kaplan & Bruno, PLLC located in New York, New York.
ROBERT B. KAPLAN: Deputy Director of NASD District #10 (NYC).
JAY LIPPMAN: Assistant Chief Counsel in the NASD's District #10 New York City office.
JENICE MALECKI: of the Law Office of Jenice Malecki, Esq., represents clients in the securities industry in governmental, regulatory, self-regulatory, arbitration, litigation and appeal proceedings, as well as in settlements, consent orders and pleas.
BILL SINGER: publisher of RRBDLAW.com and a partner with the law firm of Gusrae, Kaplan & Bruno, PLLC.
ANDREW C. WELS: Assistant General Counsel for TD Waterhouse, Inc.
Live Program: $255 Member, $375 Non-member
Audiotapes: $335 Member, $475 Non-member
Videotapes: $435 Member, $545 Non-member
Materials: $125 Member, $190 Non-member
CLE Credit: 7 1/2 credits total: credit breakdown to be determined. This program provides transitional credit for newly admitted attorneys.
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