The National Society of Compliance Professionals is a a nonprofit, membership organization dedicated to serving and supporting compliance officials in the securities industry. This annual national meeting will cover a variety of topics, including custody, code of ethics, principal trades, suitability, information barriers and managing material non-public information, recordkeeping and supervision among several others.

WilmerHale partner Dan Gallagher is a featured speaker at this event, where he will participate in a panel on Wednesday, Nov. 3, entitled "Institutional Sales and Trading."