Insights & News

SIFMA's C&L Annual Seminar:
Key Issues for Small and Regional Firms

March 15, 2023
11:45 a.m. - 12:45 p.m. PT

Marriott Marquis San Diego Marina
333 West Harbor Drive
San Diego, California 92101

- In a world of limited resources, where do you find them?
- Who’s on first? What’s on second?
- Priorities management and best practices
- Mission impossible: how to keep up with all the regulations that apply?
- State of anxiety – working with state regulators and other authorities

Jackie Beauprez, SVP, General Counsel, Chief Compliance Officer, D.A. Davidson & Co.

Caroline Hall, Deputy General Counsel and Chief Compliance Officer, Janney
Paula Shaffner, Partner & Co-Chair, Securities Litigation, Stradley Ronon
Richard Szuch, Enforcement Chief, New Jersey Bureau of Securities and Chair, NASAA Senior Issues Committee

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