WELCOME
Regional Dealer Fixed Income
Legal & Compliance Roundtable
June 12, 2007
4:30 - 6:30 PM Roundtable
6:30 PM Dinner
Global Financial Markets Conference Center, New York City
In conjunction with the Securities Industry and Financial Markets Association's Fixed Income Legal & Compliance Conference, we invite you to participate in a special session for regional firm legal and compliance professionals. The open discussion will be tailored to the timely legal and compliance issues specifically affecting your business. Topics include but not limited to:
- Mark-ups
- Gift and entertainment rules
- Supervision and record retention
- Electronic disclosure
- SRO consolidation
For more information on this event or to register, please contact Mike Nicholas at 202.434.8400.