The panel will be moderated by Chris Zappala of LPL Financial LLC and in addition to Ms. Scott, will include the following panelists: Richard Donovan of Merrill Lunch, Pierce, Fenner & Smith Inc; Mark Quinn of Cetra Financial Group, and Barry Rashkover of Sidley Austin
There will also be a “Regulatory Update” panel moderated by Ira Hammerman, Executive Vice President & General Counsel of SIFMA, with David Greene of FINRA, Bryan Bennett of the SEC, and Edgar Gill of the California Department of Business Oversight as panelists.
The event is hosted by LPL Financial LLC.
Registration is free for current Compliance and Legal Society members and $50 for non-members. For more information or to register, click here.
SIFMA is the voice of the U.S. securities industry. They represent the broker-dealers, banks and asset managers whose nearly 1 million employees provide access to the capital markets, raising over $2.5 trillion for businesses and municipalities in the U.S., serving clients with over $20 trillion in assets and managing more than $67 trillion in assets for individual and institutional clients including mutual funds and retirement plans. SIFMA, with offices in New York and Washington, D.C., is the U.S. regional member of the Global Financial Markets Association (GFMA).