The Association of the Bar of the City of New York (ABCNY) on Monday, December 13 is offering a CLE seminar titled Securities Regulators: Views From the Sources.
Prominent securities regulators from the Securities and Exchange Commission, the National Association of Securities Dealers and enforcement agencies will discuss hot topics and current issues and proposals. Attendees will learn the top officials' views on practical, everyday securities law issues.
The consequences of non-compliance, and how to deal with clients' regulatory problems, also will be covered.
Discussion topics will include: the new internal certification on internal controls requirements, new asset backed proposals, the new form 8-K requirements and current enforcement issues.
The program chair is N. Adele Moore, Cravath Swaine & Moore LLP. Among other speakers are Daniel L. Goelzer, member of the Public Company Accounting Oversight Board; Richard F. Langan Jr. Nixon Peabody LLP, and David Lynn, chief counsel of the Division of Corporation Finance, SEC.
The program will take place from 9 a.m. to 5 p.m. at the House of the Association, 42 West 44th Street, New York City.
For information on available CLE credits and registration fees, see the Bulletin Board now located on our website at www.metrocorpcounsel.com.
For reservations, call (212) 382-6663 or visit www.abcny.org.