Legal Alert: ALI-ABA’s SEC/NASD Compliance Conference

The American Law Institute – American Bar Association ("ALI-ABA"), in cooperation with the Financial Services Institute, recently held a conference on SEC/NASD Compliance. The conference featured senior SEC and NASD officials and leading legal and compliance practitioners who discussed a range of compliance issues facing investment advisers, investment companies and broker-dealers. The conference provided an overview of recent regulatory changes, as well as practical advice for investment advisers, investment companies and broker-dealers in designing and implementing their compliance programs. The conference was chaired by Clifford E. Kirsch, who joined Sutherland Asbill & Brennan LLP earlier this month as a partner in the firm’s New York office. Among the panel participants was Brian L. Rubin, a partner in Sutherland’s Washington DC office. This Alert summarizes some substantive highlights from the panels and conference materials.