Conference Materials

2013

Securities Regulator Panel

Monday, April 29, 2013 1:15 PM - 2:15 PM

Speakers

Katherine Addleman

Partner
HAYNES & BOONE, LLP
Dallas, Texas

Speaker Bio
Martin Murphy

Associate Regional Director
Examinations Division
US SECURITIES & EXCHANGE COMMISSION
Los Angeles, California

Speaker Bio
Carla Romano

SVP and Senior Regional Director
FINRA
Chicago, Illinois

Speaker Bio

Session Description

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 respec-
tively to a series of questions posed by
FIRMA. This unique format will allow
attendees to hear how each agency is
addressing financial reform.

Session Materials

National Exam Program

FINRA

SEC Web Links