Please note: The CLE portion of the evening will be 2 hours (120 minutes)
from 4pm to 6pm.
Join us for an in-depth analysis of the current enforcement regulatory
priorities from the Commodity Futures Trading Commission (CFTC) and The National
Futures Association (NFA). A networking reception will follow the CLE course
portion of the evening.
Due to the recent changes under Dodd-Frank, both the CFTC and NFA have
increased enforcement initatives and activities. Join us as CFTC and NFA
panelists address recent expansion to both CFTC and NFA powers and jurisdiction
over certain products under Dodd-Frank. They will also address their
processes for investigating and filing civil enforcement actions, recent
enforcement cases and priorities, and their respective roles related to
commodities, swaps and other products within their jurisdiction.
1. Understanding CFTC and NFA
2. Processes Used to Investigate CFTC/NFA Enforcement Matters
3. Settlements and Hearings
4. Respective Roles of CFTC/NFA and Interaction With Other Regulators
Paul G. Hayeck, Esq.
Futures Trading Commission
Associate Director of Enforcement
Ronald V. Hirst, Esq.
National Futures Association & Enforcement
Associate General Counsel
Paul M. Tyrrell, Esq.
BBA Member -
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.