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FIF 2012 Year End Event in NY Sponsored by UBS

FIF 2012 Year End Event - Sponsored by UBS

We would like to thank UBS for sponsoring the FIF 2012 Year End Event. With the year coming to a close but no end in sight for regulatory initiatives, join us as we look forward to 2013 and industry initiatives that will shape our business. Our keynote speaker will be James Burns, Deputy Director of the SEC’s Division of Trading & Markets who will give an update on the Division’s current and expected initiatives for 2013. A panel discussion looking at 2013 regulatory initiatives will follow, please see full agenda below.


Event Details

Date Wednesday, December 12, 2012
  4:15 - 4:30 PM ET: Registration
  4:30 - 6:00 PM ET: Meeting
  6:00 - 8:00 PM ET: Cocktail Reception

Welcome - Alex Kramm, Equity Research Analyst, UBS


Keynote Speech, James Burns, Deputy Director, Division of Trading & Markets, Securities and Exchange Commission

  FIF 2012 Update -Manisha Kimmel, Executive Director, Financial Information Forum
  Panel Discussion: Looking Ahead to 2013 moderated byTom Jordan, FIF Advisory Committee Chair, President, Jordan & Jordan
  Sean T. Gilmartin, Esq., Senior Vice President, Director of Equity Compliance, Jefferies & Co., Inc
  Scott Kloin, Chief Compliance Officer, Citadel Securities
  Wendy Kong, Executive Director, Morgan Stanley Wealth Management
  Meeting Conclusion/Adjournment -Deborah Mittelman, Executive Director, UBS
Dial-in Not available. This event is in-person only
Location UBS, 1285 Avenue of the Americas, New York, NY 10019
Registration Fees FIF Members / FIF Guest: FREE
  Non FIF Members: $200
Note: This event is not open to members of the media or consulting firms
Event Date Wednesday, Dec 12, 2012 4:30 pm
Cut off date Wednesday, Dec 12, 2012
We are no longer accepting registration for this event

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