Education Session No. 431
Meet the SEC -- Without an Examination
DATE: Wednesday, November 6th, 2013
SPEAKERS:
Paula Drake, Chief Counsel, Office of Compliance Inspections and Examinations - U.S. Securities and Exchange Commission, U.S. Securities and Exchange Commission
Michael E. Garrity, Associate Regional Director of Examinations, SEC Boston Regional Office, U.S. Securities and Exchange Commission
David S. Sieradzki, Partner, Bracewell & Giuliani LLP
Christopher J. Messiana, Head of Operations, Marshall Wace North America L.P.
Suzan Rose, Moderator, Chief Compliance Officer, Marshall Wace North America L.P.
HOST: Bracewell & Giuliani LLP
LOCATION: Delamar Greenwich Harbor
500 Steamboat Road
Greenwich, CT