2010 SIFMA Compliance and Legal Annual Conference

On May 7, 2010 Andrew Sidman and Brian Amery will be panelists at the SIFMA Compliance and Legal Annual Seminar. Mr. Sidman's topics will include: preparation prior to notification of exam, notice of commencement of exam, handling the day-to-day examination, deficiency letter, response and follow-up, and specialized exams. Mr. Amery's topics will include: current status of the mandatory public panel pilot program, the impact of regulatory settlements on the private dispute resolution process, the new FINRA discovery guide, ARS claims, and financial industry issuer claims - "tech wreck" revisited.

Dominick Evangelista was also a speaker at the conference.