Compliance & Legal Society Annual Seminar

Presented by the Securities Industry and Financial Markets Association
Speaking Engagement
March 20–23, 2011
JW Marriott Desert Ridge
5350 E. Marriott Drive
Phoenix, Arizona

Partner James Van De Graaff will speak as a panelist on "Listed Derivatives" at 10:00 a.m. on Tuesday, March 22.

Topics that will be discussed by the panel include:
  • ramifications of exchange and market center consolidation and growth
  • FLEX Options as a listed alternative to Dodd-Frank OTC issues
  • incorporating listed options into a consolidated audit trail (SEC Proposed Rule 613)
  • current focus of regulatory inquiries and exams (e.g. TMMS for options)
  • non-U.S. listed options

For more information, click here.