Roundtable on FINRA and NYSE Market Regulation

The SRO and States Subcommittee of the ABA Securities Litigation Committee is pleased to announce its next program, "A Roundtable on FINRA and NYSE Market Regulation."

The program will feature the following senior enforcement and surveillance officials from the NYSE and FINRA:

  • Adam Wasserman, Head of Enforcement, and Stephen Larson, Senior Director
  • Robert A. Marchman, EVP, Enforcement and Jon K. Kroeper, EVP, Quality of Markets
  • Bill Peterson of Ellenoff Grossman & Schole will provide industry perspective
Bressler principal, Andrew Sidman, Co-Chair of the SRO Subcommittee, will serve as a co-moderator of the panel.