Summary of Selected Programs from SIA Compliance & Legal Division’s 2006 Annual Seminar

Originally published by March 27, 2006

Last week, the Securities Industry Association Compliance & Legal Division hosted its annual seminar, with some 1500 securities industry participants and observers attending. Although the seminar is a great opportunity to catch up with old friends, and perhaps meet new ones, it is first and foremost the single best educational seminar of its kind. Participants in the securities industry represent a substantial part of the client base we serve at Sutherland Asbill & Brennan, whether it be a broker-dealer, investment bank, hedge fund, mutual fund or some other business or individual associated with the financial services industry. Sutherland Asbill & Brennan is a proud sponsor of the seminar and, as you might expect, many of our attorneys look forward to attending each year. This year no fewer than 12 of our securities litigation and arbitration, enforcement, and regulatory attorneys attended.