Securities Law Schedule

8:00am to 4:00pm
Location
Securities Law Registration N/A McGrew Room
8:15am to 9:45am
Location
Breakfast Buffet N/A Rocky Mountain AB
9:00am to 10:00am
Location
SL01 - The DoL’s Fiduciary Rule: How it Compares to (and Impacts) Existing Standards for Broker-Dealers and Investment Advisers Teresa Verges, Christine Lazaro, Mercer Bullard Rocky Mountain CD
10:00am to 11:00am
Location
SL02 - Supervisory and Compliance Structures of Brokerage Firms: Compliance with Fiduciary Standards and the "Best Interest" Contract Exemption Elissa Germaine, Vincent Micciche, Alan Besnoff Rocky Mountain CD
11:00am to 11:15am
Location
Break N/A Rocky Mountain AB
11:15am to 12:15pm
Location
SL03 - Investment Products: Buffer Annuities Scott Eichhorn, Vincent Micciche Rocky Mountain CD
12:15pm to 1:15pm
Location
Luncheon N/A Mountain View Terrace
1:15pm to 2:45pm
Location
SL04 - Ethics: What Every Attorney Should Know About Technology in Practice Nicole Iannarone, Taylor Faw Rocky Mountain CD
2:45pm to 3:00pm
Location
Break N/A Mountain View Terrace
3:00pm to 4:00pm
Location
SL05 - Cybersecurity: Regulation and Enforcement in the Battle of Attacks on Investor and Firm Information Darlene Pasieczny, Kevin Rosen Rocky Mountain CD
4:00pm to 5:00pm
Location
SL06 - Case Law Round-up/Hot Topics Benjamin Edwards, Moshe Singer Rocky Mountain CD
5:00pm to 6:15pm
Location
Securities Law Seminar Reception N/A Mountain View Terrace