The creation of FINRA earlier this year combined the NYSE and the NASD to mark a new era in SRO regulation. The impact of the subprime lending issues have been felt across all aspects ofthe Securitiesindustry.This seminar, presented by SIFMA,was designed to helpattendees address the challenges created by this impact.
WilmerHale partners Brandon Becker, Yoon-Young Lee, Lori Martin, Harry Weiss and senior counsel Marianne Smythe were all panelists at this event:
Brandon Becker -"Equity Market Structure Issues"
Yoon-Young- "Managing Information Barriers - the New Control Room"
Lori Martin -"Internal Investigations"
Harry Weiss- "Ethical Considerations of an In-House Lawyer"
Marianne Smythe- "Fee Based Brokerage Accounts - Is There Life After FPA vs. SEC?"