ABA SRO and States Subcommittee Presents:

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 

Please RSVP to [email protected] .

Limited seating is available. Participants via telephone must register and may use the dial in information below. 

Dial In Information:

Dial in: 1.866.203.0920
Conference Code: 1.617.951.8485

If you are not already a member of the ABA Section of Litigation, we urge you to consider joining .  
Subcommittee Co-Chairs

David C. Boch
Morgan, Lewis & Bockius, LLP
One Federal Street
Boston, MA 02110-1726

Christian J. Cannon
AXA Equitable Life Insurance Company
8501 IBM Drive, Suite 150-D
Charlotte, NC 28262-4333

Andrew W. Sidman
Bressler, Amery & Ross, P.C.
17 State Street
New York, NY 10004

Lara Thyagarajan
Senior Vice President and Counsel to the Head of Enforcement
200 Liberty Street
New York, NY 10281