by Cosgrove Law Group, LLC
June 30, 2010 – Sheila Carroll and Mary Wolff attended the SIFMA C&L Regional Seminar in St. Louis, MO on June 30th. The seminar’s focus was on the upcoming changes for the compliance and legal departments in the securities community. Some of the many topics discussed by the panelists were regulatory enforcement, complaint resolution techniques, the future of mandatory arbitration clauses, changes in FINRA arbitration, new SEC initiatives, and of course the pending financial reform bill. David Massey, NASAA‘s president-elect and North Carolina‘s Deputy Securities Administrator, was the key note speaker and the featured lunch speaker was Ms. Hillary A. Sale from Washington University’s School of Law. The seminar provided detailed information for the attendees and covered a variety of viewpoints on each matter discussed. Part of SIFMA C&L’s mission is to work to facilitate communication between the industry and the regulatory community on key issues. As a firm dedicated to providing our clients with proactive solutions in the ever changing regulatory environment, we enjoyed the opportunity to attend a seminar dedicated to discussing current topics and offering valuable resources to the attendees. Stay tuned to our blog where we will be posting more details about the topics discussed at the seminar.