Friday, March 16, 2012

8:45 AM - 9:45 AM

A NEW WORLD: UNDERSTANDING HOW THE NEW REGULATORY ENVIRONMENT AFFECTS BANKERS, TRADERS AND OTHER BROKER-DEALER FUNCTIONS

Moderator: Elizabeth Columbo Partner, NIXON PEABODY LLP

Michael Marz Vice Chairman, Capital Markets and Structured Products, FIRST SOUTHWEST COMPANY

Alan Polsky Chairman, Board of Directors, MSRB, SVP, DOUGHERTY & CO., LLC

Vince Sampson President, EDUCATION FINANCE COUNCIL

This session will focus on the remarkable amount of new regulatory actions and notices issued by the SEC, MSRB and FINRA over the last two years with an emphasis of how those regulatory changes impact what broker-dealers do. These regulatory changes affect all broker-dealer functions and also how those functions interrelate with each other.

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