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  • SEC Regulation Outside the United States, Conference (23 June 2017)
  • SEC Basics, Workshop (22 June 2017)
  • SEC and NFA Examinations, Workshop (22 June 2017)

The markets and SEC and CFTC developments

11:35 - 12:35
January 1, 1970

It has never been more important for legal and compliance professionals outside the United States to stay abreast of U.S. regulatory developments coming out of the SEC. This includes not only initiatives from the Division of Investment Management, which has oversight of funds and advisers, but also the Division of Trading and Markets, which oversees intermediaries, such as broker-dealers, exchanges, clearing houses, and others.

The panel, among other topics will cover:

  • Reg SHO, Reg M and Rule 10b-18
  • Blackstreet and 15(a) issues;
  • Future of soft dollars and research in the wake of MiFID II
  • SWAPS regulation
  • Cross border trading
  • Update on Dodd-Frank and market structure initiatives

Speakers

  • Patricia Cushing Director, Compliance - National Futures Association
  • Carol McGee Assistant Director, Dirivision of Trading & Markets - U.S. Securities & Exchange Commission
  • Jim Burns Partner - Willkie, Farr & Gallagher

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