Securities Regulator Panel


 Katherine Addleman - Moderator
Partner
Haynes and Boone, LLP
Dallas, Texas
Carla Romano
Senior Vice President and Senior Regional Director
Officer
FINRA
Chicago, Illinois

David R. Woodcock
Fort Worth Regional
Office
U.S. SECURITIES AND EXCHANGE COMMISSION
Fort Worth, Texas


This is always a valuable and not-to-miss session with our primary federal securities regulators. These agency leaders will share their current fiduciary examination and policy initiatives, each responding respectively to a series of questions posed by FIRMA. This unique format will allow attendees to hear how each agency is addressing financial reform.

Click here for speaker biography - Katherine Addleman

Click here for speaker biography - Carla Romano

PowerPoint presentation

Click here for other session material