FINRA Fixed Income Conference
March 5, 2009
New York, NY
FINRA’s annual Fixed Income Conference focuses on current market impacts on fixed income and how regulators and firms are responding to them. Sessions cover recent transparency initiatives, other regulatory initiatives, compliance practices in today’s market environment, considerations for operational and risk management, and recent examination findings. The conference concludes with an Ask the Regulator session.
Agenda
| 7:30 a.m. - 8:30 a.m. | Registration and Continental Breakfast |
| 8:30 a.m. - 9:00 a.m. | Welcome Address: Recent Transparency Initiatives Steve Joachim, Executive Vice President, FINRA Transparency Services |
| 9:00 a.m. - 10:15 a.m. | Current Market Impacts on Fixed Income
|
| 10:15 a.m. - 10:30 a.m. | Break |
| 10:30 a.m. - 11:45 a.m. | Compliance Practices in Today’s Fixed Income Markets
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| 11:45 a.m. - 12:50 p.m. | Lunch |
| 12:50 p.m. - 1:15 p.m. | Keynote Address: Update on Credit Markets Impacts Grace Vogel, Executive Vice President, FINRA Member Regulation |
| 1:15 p.m. - 2:30 p.m. | Operational/Risk Management Issues
|
| 2:30 p.m. - 2:45 p.m. | Break |
| 2:45 p.m. - 4:00 p.m. | Examinations, Surveillance and Enforcement
|
| 4:00 p.m. - 4:15 p.m. | Break |
| 4:15 p.m. - 5:30 p.m. | Ask the Regulator |
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