ALI-ABA Examines New Financial Regulations With SEC Official

Monday, October 4, 2010 - 00:00

On Thursday and Friday, October 21 and 22, the American Law Institute-American Bar Association will present The Financial Services Regulatory Revolution: Navigating the New World of Broker-Dealer and Investment Advisor Regulation, Supervision and Sales Practices.

The seminar will be located at the Hilton Washington Embassy Row, 2015 Massachusetts Avenue, NW in Washington, DC. It will begin on Thursday at 8:00 a.m. and will end at 5:30 p.m. On Friday it will run from 8:00 a.m. until adjournment at 4:15 p.m.

The far-reaching financial services reform legislation means the regulatory environment for broker-dealers and investment advisors will change rapidly. Practitioners need to stay abreast of the changes required by the financial services reform legislation to provide the best counsel to broker-dealer and investment advisor clients.

Participants will be updated on the Dodd-Frank Act and get practical advice about the steps firms need to take to assist clients with the necessary changes.

There will be a panel discussion led by leading legal and compliance professionals, including Jennifer B. McHugh (invited), senior advisor to Chairman Mary L. Schapiro, U.S. Securities and Exchange Commission; Alexander C. Gavis, vice president and associate general counsel, Fidelity Investments; and Mark Menchel, executive vice president and general counsel for regulation, Financial Industry Regulatory Authority (FINRA).

Topics include Legislative and Regulatory Developments; The Uniform Standard of Care: What Steps Broker-Dealers and Advisors Should be Taking Now; and Designing an Effective Due Diligence Program that Will Withstand Regulatory Scrutiny.

A keynote address will be delivered by Carlo V. di Florio, director, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission.

For information visit CLE Events on The Metropolitan Corporate Counsel website at

To register for the seminar visit