Compliance & Legal Society Annual Seminar

Presented by the Securities Industry and Financial Markets Association
Speaking Engagement | March 20–23, 2011

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.

JW Marriott Desert Ridge


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