PDF Email Page Print Friendly Page Contact
securities: events
Summary Professionals Matters News Events Publications
Past Events:

Download this File.
Herrick's Seventh Annual Capital Markets Symposium
October 2, 2013
Herrick, Feinstein's Seventh Annual Capital Markets Symposium featured keynote speaker, Jill E. Sommers, former commissioner of the Commodity Futures Trading Commission.
The Knock Knock That’s No Joke!
May 5, 2011 -- Marcum’s Breakfast Event
Rick Morris and Steve Feldman spoke at Marcum’s breakfast event entitled “The Knock Knock That’s No Joke!” The event focused on how to protect your hedge fund when law enforcement agents or the SEC pay you a visit.
Download this File.
Protecting Your Institution Post-Galleon: Current Insider Trading Issues
September 21, 2010 -- Herrick, Feinstein LLP
Our distinguished panel of experts and Herrick attorneys discussed the current challenges facing the financial industry, recent developments in the insider trading laws, and the steps attendees need to take to protect themselves and their institutions.
Download this File.
Fourth Annual Capital Markets Symposium: A Briefing on the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010
September 16, 2010 -- Herrick, Feinstein LLP
A briefing on the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 featured speakers Scott Shay of Signature Bank, Matthew Musselman of JPMorgan Chase and Jeff Klein of Kensington Capital Advisors.
Download this File.
Protect your Firm and Stay out of the Crosshairs!
September 2, 2010 -- Compliance 11
Steve Feldman spoke at the Compliance 11 event entitled "Protect your Firm and Stay out of the Crosshairs!" He discussed the consequences of an ineffective compliance program and how a firm protects itself from violations of securities laws.