Securities Law Prof Blog

Editor: Eric C. Chaffee
Univ. of Toledo College of Law

Thursday, June 14, 2007

Broker-Dealer Legal and Compliance Issues

Speech before the SIFMA Conference on Regulatory Focus on Broker-Dealer Legal and Compliance Issues, by Mary Ann Gadziala, Associate Director, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission, Chicago, Illinois, June 7, 2007.  In her speech, Ms. Gadziala  covered: enhancements to our examination program; examination priorities and challenges; and regulatory coordination.

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