Tag Archives: panelists

SEC officials, panelists confer on muni disclosures in atmosphere of partial regulation

By Anne Sherry, J.D. With Dodd-Frank’s requirement that municipal advisors register with the SEC—but municipal securities themselves occupying a middle ground that subjects them only to the SEC’s antifraud enforcement authority—panelists at a one-day SEC conference pondered issues of disclosure, … Continue reading

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Panelists mull HFT, market resiliency in SEC-NYU dialogue

By Amy Leisinger, J.D. Industry participants and academics discussed the “need for speed” among traders and the evolution of market making at the SEC-NYU Dialogue on Securities Market Regulation. Several panelists noted that the high-frequency trading (HFT) race and continued … Continue reading

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Coordination, innovation key in blockchain regulation, say NASAA FinTech panelists

By Anne Sherry, J.D. Panelists at the NASAA Fintech Forum in Washington, D.C., examined the challenges and opportunities ahead as regulators grasp with blockchain-related innovations. At a morning panel about virtual currency regulation, regulators and a defense attorney debated whether … Continue reading

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PLI panelists discuss audit committee responsibilities

By Amanda Maine, J.D. Former PCAOB Member Jeanette Franzel stressed the need for audit committees to be prepared for the new auditor’s reporting model, which was adopted by the Board in June 2017. The auditor’s reporting model and other auditing … Continue reading

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