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 PC; Jack 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.