Broker/Dealer Email and Information Management

Broker/Dealer Email and Information Management

Speaking Engagement
WilmerHale Partner Greg Ewald will speak at this annual forum where attendees will learn about the intricate and critical process of identifying the specific needs of broker/dealers when complying with SEC Regulations 17a-3 and 17a-4, NASD 3010 and 3110, and Sarbanes-Oxley 302 and 404.

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Notice

Unless you are an existing client, before communicating with WilmerHale by e-mail (or otherwise), please read the Disclaimer referenced by this link.(The Disclaimer is also accessible from the opening of this website). As noted therein, until you have received from us a written statement that we represent you in a particular manner (an "engagement letter") you should not send to us any confidential information about any such matter. After we have undertaken representation of you concerning a matter, you will be our client, and we may thereafter exchange confidential information freely.

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