Education Session No. 348
Understanding the SEC and NFA Examination Process
DATE: Tuesday, June 19th, 2012
SPEAKERS:
Andrew Bowden, National Associate, Office of Compliance Inspections and Examinations (OCIF), Securities and Exhange Commission
Regina Thoele, Associate Director of Compliance, National Futures Association
Cary Meer, Moderator, Partner, K&L Gates
HOST: K&L Gates
LOCATION: 1601 K Street, NW
Washington, DC 20006