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CLE - Examination Priorities for 2014: From Regulators at the CFTC, FINRA, NFA, and SEC

Thursday, February 27, 2014 4:00 PM to 6:00 PM
Boston Bar Association - 16 Beacon Street, Boston, MA


This program has already taken place, but you can still catch up on what you missed!

Visit the CLE Bookstore to purchase a CLE Materials Set, which includes online access to the recorded course presentation and a copy of the course book.

If you need CLE Credit, please click here.

Don't miss this exclusive opportunity to learn about the 2014 examination priorities from the SEC, CFTC, FINRA, and the NFA!  Hear about the issues compliance professionals should be educated about straight from the regulators. 

Program Agenda:

I. SEC Examination Program Updates and Priorities from Michael Garrity, Associate Regional Director for Examinations, Securities & Exchange Commission

II. FINRA Examination Program and Priorities from Todd Coppi, Assistant Director, Boston District Office

III. CFTC Examination Program and Priorities from Paul Hayeck, Associate Director, Division of Enforcement, U.S. Commodity Futures Trading Commission (pending confirmation)

IV. NFA Examination Program and Priorities from Jennifer Sunu, Director of Compliance, National Futures Association


Registration Categories:
BBA Member - $130.00
Non-Member - $170.00
BBA Member - Legal Services/ Government Lawyer - $70.00
Law Student - $30.00

If the cost of this seminar would preclude you from attending, please contact us about tuition discounts.If the cost of this seminar would preclude you from attending, please contact us about tuition discounts.

It's so easy to be green!  The BBA offers registrants CLE course materials in both electronic and print format.  Please remember to select your option during registration.  If you opt for the electronic version, a PDF link will be email to you prior to the seminar. We encourage laptops and portable devices at the seminar, Free WiFi is available in all conference rooms!

Sponsoring Section/Committee(s):




Jacqueline Querubin


BBA Event Calendar