Securities Law Schedule

11:45am to 3:00pm
Location
Securities Law Registration N/A Rio Grande
12:30pm to 1:30pm
Location
SL01 - Ethics: Law Practice Diagnostic Assessment Nicole Iannarone Brazos EF
1:30pm to 2:00pm
Location
SL02 - Case Law Round-up for the Securities Arbitration Practitioner Teresa Verges, Elissa Germaine Brazos EF
2:00pm to 2:15pm
Location
Break N/A Brazos Foyer
2:15pm to 3:15pm
Location
SL03 - High Risk Broker Regulation & Enforcement Scott Eichhorn, Christopher Kelly, Michael Pieciak Brazos EF
3:15pm to 4:30pm
Location
SL04 - Broker-Dealer Standards of Conduct Christine Lazaro, Joseph Borg, Michael Edmiston, Leo Rydzewski Brazos EF
4:30pm to 7:15pm
Location
Annual Meeting Registration N/A Rio Grande
4:30pm to 4:45pm
Location
Break N/A Brazos Foyer
4:45pm to 6:00pm
Location
SL05 - RIA and Hybrid RIA/BD Regulation: Where Were We, and Where Are We Going? Darlene Pasieczny, Richard Ryder Brazos EF
6:00pm to 7:15pm
Location
Securities Law Reception N/A Brazos Foyer