Leading State Regulators Discuss Reg BI and State Fiduciary Laws
Friends and Colleagues:
The SRO and States Subcommittee of the ABA Securities Litigation Committee is pleased to announce its upcoming program, "State Securities Regulators Roundtable."
The program will feature the following panelists:
Joseph P. Borg, Director, Alabama Securities Commission; NASAA President 2007, 2018;
Christopher W. Gerold, Bureau Chief, New Jersey Bureau of Securities; Chair, NASAA Enforcement Section 2019;
Katherine C. Milgram, Vice President & Counsel, Head of Regulatory Affairs, Chief of Staff to the General Counsel, The Guardian Life Insurance Company; and
Michael S. Pieciak, Commissioner, Vermont Department of Financial Regulation; NASAA President 2019.
Wednesday, October 16, 2019
4:00 pm - 5:30 pm
Morgan Lewis, 101 Park Avenue, 39th Floor, New York, NY
CLE credits in NJ (via reciprocity) and NY are currently pending approval
