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2015 Securities Litigation & Regulatory Enforcement Conference
Member Price    $175
Non-Member Attorney Price    $225
For affirmation quantities greater than 100, please contact
the CLE Institute for customized pricing options.

Course ID: DV042315

7.5 NY Credits: 2 Ethics; 1 Skills; 4.5 PP; Non-transitional


Program Co-chairs: Susan L. Harper, Bates Group LLC; Matthew C. Plant, Bressler, Amery & Ross, P.C; George Arnett, McCarter & English; Sabeena Ahmed, BOCI Commodities & Futures (USA) LLC

Faculty (In Formation): Stephen Younger, Patterson, Belknap, Past President NYSBA; Richard Owens, Latham & Watkins; Ralph Siciliano,  Tannenbaum Helpern Syracuse & Hirschtritt LLP; Stephen Obie, Jones Day; Ronald Filler, New York Law School and Director of the NYLS Financial Services Center; Bruce Fekrat, Chicago Mercantile Exchange; Greg Kramer, Partner, Haynes & Boone; Jeff Abramczyk, HSBC; Jill Del Monico, Bank of America; Ellen Slipp, Citigroup; Jake Zamansky, Zamansky LLC; Sabeena Ahmed, BOC International (USA) Holdings, Inc.; George Arnett, McCarter & English & Chair of NJSBA Securities Committee; Matthew Plant, Bressler Amery and Chair, NJSBA Securities Committee; Linda Lerner, Crowell & Moring, Chair, Midtown Regulatory and Compliance Group; Gordon Eng, SKY Harbor Capital Management, LLC, NYCLA Board of Director; Andrew Stemmer, Deutche Bank; Lyle Roberts, Cooley; Cathy Foti, Morvillo Abramowitz Grand Iason & Anello PCJack Lerner, The Prudential Insurance Company of America; Chaim A. Levin, Tradition; Andrew Melnick, RCS Capital; Michelle MacDougall, Societe Generale Americas; David Rosenfeld. Associate Regional Director, SEC; Paul Murphy, NJ US Attorney's Office; Steven Lofchie, Cadwalader Wickersham & Taft LLP; Norman Arnoff, Law Offices of Norman Arnoff; John Kelly, McCarter & English, LLP


Join us for a full-day conference that will focus on the following topics:

  • New Regulatory Landscape Reform, Proceedings, Investigations

  • Developments in White Collar Matters & Insider Trading Cases in the wake of Newman

  • Commodities, Futures and Derivatives – The Increasing Regulatory Reach

  • Raising Capital & New Financial Services Companies, Unregulated Broker Dealers and Unregistered Offerings: Legal  Issues Surrounding Crowd Funding and Reg A+, Bitcoin, Apple Pay and Micro Cap Securities

  • General Counsels Litigation & Arbitration Hot Topics

  • Issues, Advice and Ethical matters when advising Financial Services Compliance Personnel


Original Tape Date: April 23, 2015

All Programs include: (1) Affirmation and (1) DVD/CD packet.

To receive CLE credit for program on DVD/CD: DVD/CDs are embedded with CLE codes that you must copy onto a supplied affirmation sheet. Return the signed and dated affirmation to the NYCLA CLE Institute to be issued a CLE certificate. We recommend that you watch/listen to DVD/CDs as soon as possible. We can only issue CLE credit if the law is still current. The date of your signed affirmation will determine the date of your CLE certificate.

Course Materials: DVDs have a PDF file of the course materials on the DVD itself. CD orders will come with a separate CD with a PDF file of the course materials. Written materials provided only upon request.


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