Regulated Entities Panel Presentation Out of Stock
Co-sponsored by the Securities and Exchange Commission and the Business Law Section of the Colorado
Quantity
May 2013
Segment 3 of 45th Annual Rocky Mountain Securities Conference
Regulated Entities Panel Presentation
Accreditation Information
To claim CLE credit for this segment you MUST use the following title on your homestudy affidavit 45th Annual Rocky Mountain Securities Conference.
Presentation
RRegulated Entities Panel Presentation
Panelists:
- Carlo di Florio, Director, Office of Compliance Inspections and Examinations, Securities and Exchange Commission
- Katherine Addleman, Haynes and Boone LLP
- Mary E. Keefe, Managing Director, Director of Compliance, Nuveen Investments, Inc.
Moderated by Kevin Goodman, Associate Regional Director - Regulation,
Securities and Exchange Commission