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