2010 ANNUAL SEMINARMay 5th - 7th

Seminar Brochure

Gaylord National HotelNational Harbor, Maryland

MESSAGE FROM THE PRESIDENT

Dear Colleague:

I invite you to join us on May 5th through May 7th, 2010 at the Gaylord National Hotel and Convention Center just outside of Washington, D.C. for the SIFMA Compliance & Legal Society’s 42nd Annual Seminar. Seminar Chair, Louise Guarneri of Credit Suisse, Seminar co-Chair, Howard Plotkin of RBC, and our Day Chairs, have assembled an outstanding program – one that should not be missed.

In light of continued unprecedented changes in our industry, we in the Compliance and Legal community face great challenges in advising our clients. The Regulatory and Legislative landscape has been greatly changed in the last year, and the need for the business community to keep up with these changes is greater than ever. The Compliance and Legal community needs to come together to discuss its current issues and challenges and those that it will be facing in 2010 and beyond. Our seminar this year is designed to help you accomplish that.

To further meet the needs of its members, the Seminar continues to expand its scope; this year with 55 topical panels, and two General Sessions. Mary Schapiro, Chairman of the Securities and Exchange Commission, has agreed to address our membership at the Seminar as has Richard Ketchum, Chairman and CEO of FINRA. To take advantage of our Washington locale, we anticipate having special luncheon presentations. Several new panels have been added, including those that will focus on developments in Savings and Retirement Plans, Litigation Update – Banking and Bankruptcy, Alternative Dispute Resolution of Complex Litigation and Compensation Issues. Special attention was paid to existing subject matter panels to update them to address current events. You will not want to miss our panels on Handling a Corporate Crisis, Legislative Developments, Material Nonpublic Information and Ponzi Schemes - Detecting and Preventing. Our workshops are specifically designed to promote discussion and active participation among attendees through an interactive, problem-solving format. Ethics credits continue to be available this year by attending one of four panels: Ethics for the Business Attorney; Handling a Regulatory Investigation (I and II); and Internal Investigations. And we continue to feature the highly informative “Current SEC Issues” and “Current Enforcement Issues” panels as part of our General Sessions held on Thursday, May 6th and Friday, May 7th. Our speakers include leading in-house legal and compliance professionals, prominent outside counsel and regulators.

Please review and carefully follow the directions on how to register for the Seminar. All Seminar registrations, along with the option of payment, will be handled through the Society’s secure on-line registration system located at https://members.siacl.com. For further information about the Seminar, including information about agenda topics, please refer to the additional sections in this brochure, or call Intermedia Events & Conference Group, the Society’s Seminar administrator at 212-629-9393 ext. 206, or by email at events@sifmacl.org.

We look forward to seeing you in May at the Compliance & Legal Society’s 2010 Annual Seminar in Washington, D.C.

Sincerely,Edward G. TuranPresidentSIFMA Compliance & Legal Society

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2010 ANNUAL SEMINAR PLANNING COMMITTEE

SEMINAR CHAIRPERSON

Louise GuarneriCredit Suisse

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SEMINAR CO-CHAIR

Howard R. Plotkin RBC Capital Markets

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SEMINAR CO-CHAIR SPONSOR & EXHIBITOR RELATIONS

I. Scott BielerFidelity Investments

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DAY CHAIRS

Tracy CalderUBS Wealth Management

Stephen Gannon

Capital One Financial Corporation

Anahaita KotvalRBS Global Banking & Markets

Elaine Mandelbaum

Citi Markets & Banking

Christopher MahonDeutsche Bank

Michelle Oroschakoff

Morgan Stanley

David Prince Stephens Investment Management Group, LLC

Stephen Strombelline

BNP Paribas Securities Corp.

Tracy WhilleMF Global

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SCHEDULE AT A GLANCE

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Wednesday, May 5th

6:30pm to 9:00pm Registration Open

6:30pm to 9:00pm Exhibit Area Open

6:30pm to 9:30pm Welcome Reception

Thursday, May 6th

7:00am to 4:00pm Registration Open

7:00am to 8:00am Breakfast

7:00am to 4:00pm Exhibit Area Open

8:00am to 10:00am General Session

10:00am to 10:15am Refreshment Break

10:15am to 11:30am Session A Panels

11:30am to 11:45am Refreshment Break

11:45am to 1:00pm Session B Panels

1:00pm to 2:15pm Luncheon

2:15pm to 3:30pm Session C Panels 5:30pm to 7:30pm Evening Reception

Friday, May 7th

7:00am to 4:00pm Registration Open

7:00am to 8:00am Breakfast

7:00am to 4:00pm Exhibit Area Open

8:00am to 10:00am General Session

10:00am to 10:15am Refreshment Break

10:15am to 11:30am Session A Panels

11:30am to 11:45am Refreshment Break

11:45am to 1:00pm Session B Panels

1:00pm to 2:15pm Luncheon

2:15pm to 3:30pm Session C Panels

4:00pm Conference Adjourns

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PANELS AT A GLANCE

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Thursday, May 6th

Session A Panels - 10:15am to 11:30am

THA - 1 Anti Corruption and Bribery THA - 2 Conflicts Management THA - 3 Compliance Issues for Support Functions THA - 4 Equity Trading THA - 5 Compliance and Regulatory Issues in Investment Banking THA - 6 Hedge Fund Challenges - The Hedge Fund Perspective THA - 7 Municipal Securities THA - 8 Legislative Developments THA - 9 Litigation Update - Regulatory and Criminal

Session B Panels - 11:45am to 1:00pm

THB - 1 Compliance Issues for Large Retail Firms THB - 2 Internal Investigations (Ethics CLE) THB - 3 Understanding Control Risks THB - 4 Research Roundtable THB - 5 Bank Regulatory Issues THB - 6 Fixed Income Concepts THB - 7 Developments in Savings and Retirement Plans THB - 8 Compliance Issues of Small and Regional Firms THB - 9 General Counsels’ Roundtable - Global Firms THB - 10 Litigation Update - Major Civil Cases

Session C Panels - 2:15pm to 3:30pm

THC - 1 International and Cross-Border Regulatory and Compliance Issues THC - 2 Energy and Commodities THC - 3 Handling a Corporate Crisis THC - 4 Employment: High Profile Issues and Workplace Controls THC - 5 Handling a Regulatory Investigation I (Ethics CLE) THC - 6 Key Legal Issues - Retail Firms THC - 7 Alternative Approaches to Branch Supervision THC - 8 State Regulatory Issues THC - 9 Prime Brokerage and Clearing THC - 10 Equity Market Structure Issues

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Friday, May 7th

Session A Panels - 10:15am to 11:30am

FA - 1 Employment Litigation FA - 2 Arbitration I FA - 3 Handling a Regulatory Investigation II (Ethics CLE) FA - 4 AML Compliance - Current Issues FA - 5 OTC and Complex Derivatives FA - 6 Today’s Global Compliance Department - Issues and Challenges FA - 7 Litigation Update - Banking and Bankruptcy FA - 8 Hedge Fund Challenges - The Broker-Dealer Perspective FA - 9 Investment Advisors - The Advisor Perspective

Session B Panels - 11:45am to 1:00pm

FB - 1 Fixed Income Trading FB - 2 Examinations by Regulators - The Regulator Perspective FB - 3 Senior Investors - Challenges and Regulatory Issues FB - 4 Developments in Compliance Technology FB - 5 M&A Litigation FB - 6 Investment Advisor - The Broker-Dealer Perspective FB - 7 Arbitration II FB - 8 Material Nonpublic Information FB - 9 Ethics for the Business Attorney (Ethics CLE)

Session C Panels - 2:15pm to 3:30pm

FC - 1 Compensation Issues FC - 2 The Evolving Role of Legal and Compliance in the Current Environment FC - 3 Alternative Dispute Resolution of Complex Litigation FC - 4 Securities Regulatory Examinations and Inquiries - The Firm Perspective FC - 5 Corporate Finance and the Capital Markets FC - 6 Ponzi Schemes - Detecting and Preventing FC - 7 Mutual Fund Sales Practices FC - 8 Managing Legal Issues for Small and Regional Firms

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AGENDA

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AGENDA

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Thursday, May 6th

General Session - 8:00am - 10:00am

Welcome Remarks:

Louise Guarneri Credit Suisse 2010 Seminar Chair, SIFMA Compliance & Legal Society

Edward G. Turan Citigroup Global Markets Inc. President, SIFMA Compliance & Legal Society

Keynote Speaker:

Mary L. Schapiro Chairman U.S. Securities and Exchange Commission

TH - GSPanel: Current SEC Issues

Moderator:

David A. DeMuro O’Melveny & Myers LLP

Panelists: Robert W. Cook U.S. Securities and Exchange Commission

Meredith Cross U.S. Securities and Exchange Commission

Carlo di Florio U.S. Securities and Exchange Commission

Andrew Donohue U.S. Securities and Exchange Commission

Henry Hu U.S. Securities and Exchange Commission

Session A Panels - 10:15am to 11:30am

THA - 1 Anti Corruption and Bribery• EssentialComponentsofanEffective FCPA Compliance Program•DOJ/SECComplianceExpectations•LessonsLearnedinAvoidingGiftsand HospitalityPitfalls•TransactionalDueDiligenceandThird Party Screening •SupervisoryResponsibilityandtheSEC•UKBriberyBillandExpectedImpact

Moderator:

Raja Chatterjee Morgan Stanley

Panelists:

Richard Grime O’Melveny & Myers LLP

Cassie Lentchner UBS Investment Bank

Denis McInerney U.S. Department of Justice

Cheryl Scarboro U.S. Securities and Exchange Commission

Jenna Victoriano Credit Suisse

AGENDA

THA - 2ConflictsManagement• HowtoIdentifyConflictsofInterest (Process and Key Things to Look For)• OptionsforManagingConflicts• Largevs.SmallFirmChallenges• TheRegulator’sPerspective• CurrentConflictIssues

Moderator:

Kevin R. Genirs Barclays Capital

Panelists:

Gene Gohlke U.S. Securities and Exchange Commission

Colleen Graham Credit Suisse

Ben Indek Morgan, Lewis & Bockius LLP

John Robinson Schoenfeld Asset Management

Randolph Stuzin Goldman Sachs

THA - 3ComplianceIssuesforSupport Functions• BackOfficeLicensingInitiative• ComplianceCoverageModelfor Operations,ITandOtherNon-Revenue Generating Areas• IdentifyingandManagingRisks, Including Access to Material Nonpublic Information

Moderator:

Linda Yarden

Panelists:

Marc Menchel FINRA

Mihal Nahari Depository Trust & Clearing Corporation

Bruce Newman WilmerHale

Jill Ostergaard Morgan Stanley

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AGENDA

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THA - 4Equity Trading• HarmonizingtheRulesonCustomer Priority, Consent and Related Issues• ShortSales:Locates,Pre-Borrowsand Inquiries• OptionSymbologyInitiativeandChanges to LOPR• LeveragedETFs• TradeReportingandtheVarious Exchanges• SurveillanceStrategies

Moderator:

Marcelo Riffaud Deutsche Bank AG

Panelists:

James A. Brigagliano U.S. Securities and Exchange Commission

Gary Distell Cantor Fitzgerald

Thomas Gira FINRA

Jim Lamke Alliance Bernstein

Charles Sturdy Fidelity Investments

THA - 5Compliance and Regulatory IssuesinInvestmentBanking• The“NeedToKnow”Conceptand ManagingtheFlowofInformation Within Banking• MarketingIssues:WallCrossings, SoundingandtheConveyanceofMaterial NonpublicInformation• HedgeFundsandAccesstoInvestment Banking• CorporateBankingClientsandAccessto Sales and Trading• Supervision:ReportingLinesand Structure,SupervisoryMethods, Tools and Documentation

Moderator:

Keith Lurie Credit Suisse

Panelists:

James Dolan Bank of America Merrill Lynch

Mia Edwards UBS Investment Bank

Elizabeth J. Ford Goldman Sachs

Yoon-Young Lee WilmerHale

Marybeth McGinley Morgan Stanley

AGENDA

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THA - 6Hedge Fund Challenges - TheHedgeFundPerspective• Cross-Margining• EnsuringBrokersHaveAppropriate InformationBarriers• ClientRightsWhenaBrokerBlowsUp• MakingtheCallonMaterialityof NonpublicInformation

Moderator:

Harris Sufian First New York Securities LLC

Panelists:

Steven Fredman Schulte Roth & Zabel LLP

Robyn Grew GLG Partners LP

John M. Liftin D.E. Shaw & Co., L.P.

Robert O’Connor Morgan Stanley

Robin Roger Harbinger Capital Partners

THA - 7Municipal Securities• ProposedAmendmentstoMunicipal Disclosure Rules• MSRBElectronicMunicipalMarket Access (EMMA) Website

• PriorityforOrdersinPrimaryMarkets• AftermathoftheSettlementsinAuction RateandVariableRateNotes

Moderator:

Rose-Anne Richter Morgan Stanley

Panelists:

Kenneth A. Gross Skadden, Arps, Slate, Meagher & Flom LLP

Ernesto Lanza Municipal Securities Rulemaking Board

Rebecca Lawrence Piper Jaffray & Co.

Malcolm Northam FINRA

Donna Simonetti J.P. Morgan Chase & Co.

THA - 8LegislativeDevelopments• EvolvingLegislativeResponsestothe FinancialCrisisandCurrentStateofPlay• BuildingRelationshipswith CongressionalStaff• HowLegislativeAgendasAreDriving RegulatoryReform

Moderator:

Mark Shelton UBS Financial Services Inc.

AGENDA

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Panelists:

Naomi Gendler Camper J.P. Morgan Chase & Co.

Carter McDowell SIFMA

Frank Kelly Deutsche Bank AG

Annette Nazareth Davis Polk & Wardwell

THA - 9LitigationUpdate-Regulatory and Criminal• NewDevelopmentsandTrendsin EnforcementandCriminalActions• InsiderTrading-DutytoRefrain/ ApplicationtoDerivatives• Multiple/ParallelInvestigations/ Prosecutions • Settlements-Who,HowandHowMuch?

Moderator:

Steve Gannon Capital One Financial

Panelists:

Andrew Levander Dechert LLP

Barry Mandel Foley & Lardner LLP

Mark F. Pomerantz Paul, Weiss, Rifkind, Wharton & Garrison LLP

Tom Souther Sidley Austin Brown & Wood

Mary Jo White Debevoise & Plimpton LLP

Session B Panels - 11:45am to 1:00pm

THB - 1 ComplianceIssuesforLarge Retail Firms• Supervisionvs.Oversight-DefiningRoles andResponsibilitiesforCompliance• CurrentRegulatoryFocusAreas -NewProductApprovalProcess -ComplexProducts -SeniorInvestors -Supervision• TechnologyChallenges• ComplianceInteractionwithOther Control and Risk Functions

Moderator:

Bari Havlik Charles Schwab & Co., Inc.

Panelists:

Sharyn Handelsman Bank of America Merrill Lynch

Robert Mooney Wells Fargo Advisors, LLC

Dan Sibears FINRA

Douglas T. Siegel UBS Financial Services Inc.

AGENDA

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Neal Sullivan Bingham McCutchen LLP

THB - 2 InternalInvestigations(EthicsCLE)• WhoShouldLeadtheTeam?• WhoShouldBeontheTeam?• HowDoYouAdviseInterviewees?• PrivilegeandCooperationIssues• WhenandHowDoYouEscalate:To theExecutiveCommittee?TotheAudit Committee?TotheRegulators?• HowDoYouDecideWhethertoPreparea Report?

Moderator:

Joshua Levine Citigroup Global Markets Inc.

Panelists:

Wayne Carlin Wachtell, Lipton, Rosen & Katz

Pamela Chepiga Allen & Overy LLP

Michael Missal K&L Gates

Alan Reinfenberg Credit Suisse

Robert Romano Morgan, Lewis & Bockius LLP

THB - 3UnderstandingControlRisks• DevelopingaComprehensiveNew ProductandTransactionApproval Process• HowRiskManagementFitswiththe Legal and Compliance Functions• HowToIdentifyandManageRisk - Risk Assessments - Compliance Monitoring and Testing Programs -CoordinationwithInternalAudit• DevelopinganEffectiveCorporate GovernanceStructure

Moderator:

Jane Carlin Morgan Stanley

Panelists:

Anne Flannery Morgan, Lewis & Bockius LLP

Gloria Greco Bank of America Merrill Lynch

Frederick Krieger NYSE Regulation

Richard Wilson BNP Paribas Securities Corp.

AGENDA

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THB - 4Research Roundtable• RulesandPrinciplesforResearch- BankingInteraction:Beyondthe“Global ResearchSettlement”• AssessingConflictsBetweenResearchand Sales-Trading: Rules and Principles • BeyondFundamentalEquityResearch: ConsiderationforDebtandOther Products• IssuesArisingfromCross-Border ProductionandDistributionofResearch Product• RegulatoryRamificationsforSelective Distribution and Other Emerging Business Models

Moderator:

David Levine Deutsche Bank AG

Panelists:

Ray Abbott Bank of America Merrill Lynch

Dana G. Fleischman Cleary Gottlieb Steen & Hamilton LLP

Pamela N. Gannon Barclays Capital

Philip Shaikun FINRA

Pamela Torres Goldman Sachs

THB - 5Bank Regulatory Issues• EmergingTrendsandKeyDevelopments• InteractionBetweenBanksandBroker- Dealers:PotentialRegulatoryOverlap• ScopeofRegulation,Supervisionand ExaminationOverview• RegulatoryWeaponsandRemedial Powers• Cross-OverProducts:Safeguarding AgainstArbitrageBetweenthePlatforms

Moderator:

LaBrena Martin Royal Bank of Canada

Panelists:

John Ayanian Morgan, Lewis & Bockius LLP

Evan Charkes Morgan Stanley

Karen Kirchen Citigroup Global Markets Inc.

Richard Mumford UBS Wealth Management US

John Ricketti Federal Reserve Bank

AGENDA

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THB - 6FixedIncomeConcepts• CDS:LegalandRegulatory DevelopmentsinAreasofMaterial NonpublicInformation,Confidentiality and Pricing• Restructurings,Bankruptciesand Creditor Committee Issues• CreditConvergenceIssuesAmong Securities, Loans and CDS• NewIssuances:RegM,Unsold Allotments,PricingSalestoAffiliates

Moderator:

Scott Kimmel Barclays Capital

Panelists:

Jeff Horvath Deutsche Bank AG

Eric Kriftcher Bank of America Merrill Lynch

Steven D. Lofchie Cadwalader, Wickersham & Taft LLP

Lawrence Young Credit Suisse

Sharon K. Zackula FINRA

THB - 7DevelopmentsinSavingsand Retirement Plans• ParticipantInvestmentAdvice/NewDOL RegulationsandImpactofChangesto FiduciaryStandardsofBroker-Dealers• ServiceProviderFeeDisclosure/Impact onPricingStructuresforDCPlans• TargetDateFundsasQualifiedDefault InvestmentAlternativesin401(k)Plans• ExcessiveFeeLitigation• Legislative/Treasury/DOLUpdate

Moderator:

Beth Dorfman Bank of America Merrill Lynch

Panelists:

Tammy Bawnik UBS Financial Services Inc.

Phyllis Borzi U.S. Department of Labor

Ralph Derbyshire Fidelity Investments

Susan Nash U.S. Securities and Exchange Commission

Randy Oppenheimer O’Melveny & Myers LLP

AGENDA

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THB - 8ComplianceIssuesofSmall and Regional Firms• OverseeingtheComplianceEffortofa Small or Regional Firm• WhoHandlestheRiskManagement Function-Best Approaches• DoingBusinessOffshore,Servicing OffshoreAccountsandStayingonthe RightSideofAML• InteractionwithRegulators• CurrentIssues - Regulation S-P and Recruiting - Trade Reporting - FINRA Rule Consolidation -Reform-Broker-Dealer/Investment AdviserandHowitAffectstheSmall or Regional Firm

Moderator:

Arlene Wilson D.A. Davidson & Co.

Panelists:

Michael Conley Stifel, Nicolaus & Company, Incorporated

Wes Ringo Hilliard Lyons

Andrew Small Scottrade, Inc.

Kenneth L. Wagner William Blair & Company, LLC

Michael Wolensky Schiff Hardin LLP

THB - 9GeneralCounsels’Roundtable - Global Firms• AdvisingSeniorExecutivesBeforeand DuringFacetoFaceMeetingswithSenior GovernmentOfficials• ToughestIssuesforBoardsand ExecutivesIn2010-Activists, Compensation,RiskManagement,New LegislativeandRegulatoryBurdens• “BettheCompany”Issues-theGC’s RoleInDevelopingStrategyandDriving Execution• TheGC’sRoleintheRestorationof ConfidenceinLargeFinancial Institutions-WhatMustBeDone? Moderator:

Neil Radey Credit Suisse

Panelists:

Marc Gary Fidelity Investments

Edward O’Keefe Bank of America Merrill Lynch

Joseph Polizzotto Deutsche Bank AG

Giovanni Prezioso Cleary Gottlieb Steen & Hamilton LLP

AGENDA

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THB - 10LitigationUpdate-MajorCivilCases• ClassActionDevelopments• CreditCrunchandSubprimeLitigation• DisclosureIssues• AuctionRateLitigation• ForeignCubedLitigation• NewLegislationandItsPotentialImpact

Moderator:

Edward G. Turan Citigroup Global Markets Inc.

Panelists:

Brad Karp Paul, Weiss, Rifkind, Wharton & Garrison LLP

Jay Kasner Skadden, Arps, Slate, Meagher & Flom LLP

Tracy Nichols Holland & Knight

Robert Pietrzak Sidley Austin Brown & Wood

Session C Panels - 2:15pm to 3:30pm

THC - 1International and Cross-Border Regulatory and Compliance Issues• SupervisionandOversightforFirms Operating Internationally• Cross-BorderTransactionsandRulesof International/U.S.Effect• EnforcementApproachesandRegulatory Response: When Regulators Cooperate• DoingBusinessAbroad:Temporaryand Permanent Presence, Licensing and Other Challenges• GovernmentEntitiesandOfficials asClients:U.S.AgenciesasClientsof AffiliatesandForeignPersonsand EntitiesasU.S.Clients

Moderator:

Amy C. Reich Citigroup Global Markets Inc.

Panelists:

Chris Bates Clifford Chance LLP

Richard Chase RBC Capital Markets Corporation

Michael Evans BNP Paribas Securities Corp.

Eric Gallinek Deutsche Bank AG

Leopoldo Ortega Credit Suisse

AGENDA

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THC - 2Energy and Commodities• StatusofRegulationofEnergyand Commodities• IssuesforFinancialServicesFirmswith Energy/CommoditiesBusinesses• CommoditiesPositionLimits• RelevanceofInformationBarrier andOtherControlsOverConfidential Information• DesigninganEffectiveCompliance Program-WhattoLookFor?

Moderator:

Sebastian Tiger Credit Suisse

Panelists:

Gary De Waal Newedge Group

Dan Hecht RBS Sempra

Stephen Obie Commodity Futures Trading Commission

Paul Pantano McDermott, Will and Emery

TBD Federal Energy Regulatory Commission

THC - 3Handling a Corporate Crisis• ImplementingControls• RespondingQuickly• RestoringFaithandConfidence• ManagingBrandErosion• AssessingResponsibility

Moderator:

Eric Grossman Morgan Stanley

Panelists:

Jonathan Eisenberg Skadden, Arps, Slate, Meagher & Flom LLP

Lawrence Pedowitz Wachtell, Lipton, Rosen & Katz

Dan Webb Winston & Strawn LLP

Beth A. Wilkinson Paul Weiss

THC - 4Employment:HighProfileIssues and Workplace Controls• DOL&EEOCExpandedEnforcement Agendas• NextGenerationWage&HourIssues• ExecutiveCompensationIssues• Legislative/RegulatoryDevelopments• EmployeeMisconduct• ReligionintheWorkplace• NewEEOCIssues

AGENDA

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Moderator:

Susan McSwain Fidelity Investments

Panelists:

Vincent Browne UBS Financial Services Inc.

Eugene Clark Citigroup Global Market, Inc.

Kevin LeBlang Kramer Levin Naftalis & Frankel LLP

Arline Mann Goldman Sachs

Grace Speights Morgan, Lewis & Bockius LLP

THC - 5Handling a Regulatory InvestigationI(EthicsCLE)• RepresentationandConflicts• EstablishingCredibilitywiththe Regulator - Cooperation• DocumentProduction,“Voluntary” InterviewsandTestimony• CommunicatingwiththeRegulators- Meetings,Presentations,andDealingwith Multiple Regulators• TheWellsand“Wells-like”Processes• Supervisory,ComplianceOfficerand LegalDepartmentExposure• SettleorLitigate?

Moderator:

Ilene B. Marquardt UBS Financial Services Inc.

Panelists:

David Anders Wachtell, Lipton, Rosen & Katz

Barry Goldsmith Gibson, Dunn & Crutcher LLP

Kenneth Miller Bank of America Merrill Lynch

Walter Ricciardi Paul, Weiss, Rifkind, Wharton & Garrison LLP

Thomas D. Shpetner Goldman Sachs

THC - 6Key Legal Issues - Retail Firms• TheNewEnforcementLandscape: ChangesattheSECandEvolvingRoleof State Regulators• RegulatorsandProducts:Leveraged ETFs,StructuredProducts,Variable Annuities-What’sNext?• RegulatoryReform:Mandatory Arbitration,SingleStandardofCareand Other Issues• ManagingLegalCostsintheCurrent Environment• ChallengesofBroker-DealerMergersand Other Industry Changes

Moderator:

James Tricarico Edward Jones

AGENDA

Panelists:

James Ballowe E*Trade Brokerage Holdings, Inc.

Anne Cooney Morgan Stanley Smith Barney

Christopher Gilkerson Charles Schwab & Co., Inc.

Doug Kelly Wells Fargo Advisors, LLC

Michael Sharp WilmerHale

THC - 7AlternativeApproachestoBranchSupervision• BestPracticesinSupervision• DifferentModelsandthePitfallsofEach• RoleofCompliance:Supervisionvs. Oversight

Moderator:

Chris Lewis Edward Jones

Panelists:

Linda Goldstein Covington & Burling LLP

Leslie A. Klein Morgan Stanley Smith Barney

Stephen Paine Credit Suisse

Carla Romano FINRA

David Williams UBS Financial Services Inc.

THC - 8State Regulatory Issues• TheStatesandARS-ANewParadigm?• NASAA’s2009Priorities• ManagingParallelInvestigations- DealingwithRegulatoryCompetition• ExpandingtheScopeofStates’Interests: TheMartinActand“Martin-Like” Statutes• ShortSalesLegislation

Moderator:

Tony Taggart Morgan Stanley

Panelists:

Joseph P. Borg Alabama Securities Commission

Christine Bruenn Bingham McCutchen LLP

David Markowitz NYAttorneyGeneralOffice

David Montague Bank of America Merrill Lynch

Barbara Stettner O’Melveny & Myers LLP

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AGENDA

THC - 9Prime Brokerage and Clearing• CustomerProtection• PrimeBrokers/ClearingFirms vs.ExecutingBrokers:Rolesand Responsibilities• Banksvs.ClearingFirms• LitigationLessonsLearned

Moderator:

George Arnett, III Pershing LLC

Panelists:

Maurine Bartlett Cadwalader, Wickersham & Taft LLP

William H. Freilich J.P. Morgan Chase & Co.

Michael Macchiaroli U.S. Securities and Exchange Commission

Michael Rogers BNP Paribas Prime Brokerage Inc.

Lisa Rosenbaum Fidelity Investments

THC - 10Equity Market Structure Issues• RegulationNMS-AftermathofFlash QuotesandMarketAccessDebates• RegSHOAlternativeUp-Tick/Circuit Breakers:MoreChangesAhead?• DirectMarketandSponsoredAccess• ProgramandAlgorithmicTrading

Moderator:

Marybeth Findlay Credit Suisse

Panelists:

Robert Colby Davis Polk & Wardwell

Anthony LaRosa RBC Capital Markets Corporation

John Malitzis NYSE

David Shillman U.S. Securities and Exchange Commission

Marlisa Vinciguerra Scout Trading LLC

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AGENDA

Friday, May 7th

Remarks and General Session 8:00am – 10:00am

Keynote Speaker:

Richard G. Ketchum ChairmanandChiefExecutiveOfficer FINRA

F - GSPanel:CurrentEnforcementIssues

Moderator:

Richard H. Walker Deutsche Bank AG

Panelists:

Margaret Cole FSA

Denise Voigt Crawford NASAA President/Texas Securities Commissioner

Robert Khuzami U.S. Securities and Exchange Commission

Theodore A. Levine Wachtell, Lipton, Rosen & Katz

Susan L. Merrill FINRA

Session A Panels - 10:15am to 11:30am

FA - 1 Employment Litigation• TopEmploymentLitigationIssuesina Tough Economy• WhenaCurrentEmployeeSues• RecentDevelopmentsinDiscrimination Law• EmploymentClassActionUpdate• EnforceabilityofVoluntaryDeferred CompensationPlanForfeitureProvisions

Moderator:

Karen Mitchell Credit Suisse

Panelists:

Lisa Bertain Keesal, Young & Logan

Sandra Grannum Davidson & Grannum

Jack Johnson Barclays Capital

Deborah Kelly Dickstein Shapiro LLP

Alyson Weiss Loeb & Loeb LLP

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AGENDA

FA - 2 Arbitration I• CurrentStatusoftheMandatoryPublic Panel Pilot Program•TheImpactofRegulatorySettlementson thePrivateDisputeResolutionProcess•NewFINRADiscoveryGuide• ARSClaims•FinancialIndustryIssuerClaims-“Tech Wreck”Revisited

Moderator:

Harry Walters Morgan Stanley Smith Barney

Panelists:

Brian Amery Bressler, Amery & Ross, P.C.

Patricia Cowart Wells Fargo Advisors, LLC

George Friedman FINRA

J. David Jackson Dorsey & Whitney LLP

George Sullivan Greenberg Traurig, P.A.

FA - 3 Handling a Regulatory InvestigationII(EthicsCLE)• GettingStarted-Representation, PrivilegeandOtherPreliminaryIssues• DocumentCollection,“Voluntary” InterviewsandTestimony• CommunicatingwiththeRegulator• TheWellsand“Wells-like”Processes• ParallelInvestigations• HowDoesItEnd?-Concludingthe Investigation

Moderator:

Elaine Mandelbaum Citigroup Global Markets Inc.

Panelists:

Gerald Balacek J.P. Morgan Chase & Co.

George S. Canellos U.S. Securities and Exchange Commission

Michele Coffey Morgan, Lewis & Bockius LLP

Thomas J. McGonigle LeClair Ryan

Bari Jane Wolfe

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AGENDA

FA - 4 AML Compliance - Current Issues• ExpansionoftheGlobalAMLProgramto include FCPA Compliance, Fraud and OtherHighRiskActivities• AddressingCurrentOFACConcerns• SuspiciousActivityMonitoringConcerns• ConvergenceofAMLandOtherCriminal Prosecutions (FCPA, Securities Violations)• CurrentRegulatoryOversightIssues• CurrentAMLandOFACEnforcement Actions

Moderator:

John Caruso Deutsche Bank AG

Panelists:

Suprio Chaudhuri RBS Global Banking and Markets

James McGinnis BNP Paribas Securities Corp.

Betty Santangelo Schulte Roth & Zabel LLP

Robert Skrzypczak Credit Suisse

TBD Financial Crimes Enforcement Network

FA - 5 OTCandComplexDerivatives• ProposedRegulation:US,UK,EUand Other• IndustryReactionandSelf-Regulation: FedLetter,CreditDerivativeChanges (Big Bang and Small Bang) and Standardization• CentralClearingandIssuesAround Multiple Clearing Houses• InstitutionalSuitability

Moderator:

Scott Flood Citigroup Global Markets Inc.

Panelists:

Athanassios Diplas Deutsche Bank AG

Adam Glass U.S. Securities and Exchange Commission

Angie Karna Nomura

Donna Powell Credit Suisse

John Williams Allen & Overy LLP

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AGENDA

FA - 6 Today’sGlobalComplianceDepartment - Issues and Challenges• We’reAllBanksNow-Primaryvs. Functional Regulators• HowtoStructureaGlobalCompliance Department• RiskAssessmentsandManagement Information• LeveragingIT• GlobalPolicyandTrainingStrategies

Moderator:

Allen Meyer Credit Suisse

Panelists:

Carol Ann Bartlett Royal Bank of Canada

Charles Bowman Bank of America Merrill Lynch

Stuart Breslow Morgan Stanley

Paul Glotzer Cleary Gottlieb Steen & Hamilton LLP

Jeffrey B. Reitman J.P. Morgan Chase & Co.

FA - 7 LitigationUpdate-Banking and Bankruptcy• LenderLiability• EquitableSubordination,Fraudulent TransfersandReinstatementof Secured Debt• CreditorCommitteeClaims•DeepeningInsolvency• InPariDelictoandOtherDefenses

Moderator:

Susan Steinthal Citigroup Global Markets Inc.

Panelists:

Michael Carroll Davis Polk & Wardwell

Scott Edelman Milbank, Tweed, Hadley & McCloy LLP

Thomas Hommel Lehman Brothers Holdings

Mary Warren Linklaters

George A. Zimmerman Skadden, Arps, Slate, Meagher & Flom LLP

24

AGENDA

FA - 8 Hedge Fund Challenges - TheBroker-DealerPerspective• AssetsHeldAwayfromBroker-Dealers• MaterialNonpublicInformationIssues withPubliclyTradedHedgeFunds• EngagingHedgeFundClientsas FinanciersAlongSideInvestment Banking Business• EuropeanEfforttoRegulateHedge Funds• CapitalIntroduction-ClarifyingRoles, Responsibilities, and Limitations

Moderator:

Darilyn Olidge Credit Suisse

Panelists:

Stephanie Breslow Schulte Roth & Zabel LLP

Michael Huber Goldman Sachs

Claudia Lewis BNP Paribas Prime Brokerage, Inc.

Lauri Scoran Jefferies

Steve Zoric Nomura Holding America Inc.

FA - 9 InvestmentAdvisors-TheAdvisorPerspective• PracticalIssueswiththeAmendedIA Custody Rule Changes• HowHaveProgramsandRolesEvolved UndertheComplianceProgramRule?• ManagingConflictsofInterestWithinthe AdviserandWithAffiliates• NewDevelopmentswithIARegulatory Examinations• BestPracticesandDevelopmentsWith -BestExecution -InformationBarriers -Valuation• Pay-to-Play

Moderator:

Brent Taylor UBS Financial Services Inc.

Panelists:

Joe Fleming RBC Wealth Management

David Lui First American Funds

Robert Plaze U.S. Securities and Exchange Commission

Alan Porter Kirkpatrick & Lockhart Preston Gates Ellis LLP

David Potel Fidelity Investments

25

AGENDA

Session B Panels - 11:45am to 1:00pm

FB - 1 FixedIncomeTrading• Mark-ups:WhattodoinVolatile Markets?• InformationBarriers• TraceReporting-NewAssetClasses• FOREXIssues

Moderator:

Gary M. Rosen Citigroup Global Markets Inc.

Panelists:

Joseph Barbella RBC Capital Markets Corporation

Jonathan Gottlieb RBS Global Banking and Markets

Robert Mass Goldman Sachs

Ed McLaren J.P. Morgan Chase & Co.

Robert C. Mendelson Morgan, Lewis & Bockius LLP

FB - 2 ExaminationsbyRegulators-TheRegulatorPerspective• KeyFindingsfrom2009Examinations• ExaminationFocusin2010

• TrendsandChangesintheExamination Process• Multiple/ParallelExams

Moderator:

R. Gerald Baker SIFMA Compliance & Legal Society

Panelists:

Mary Ann Gadziala U.S. Securities and Exchange Commission

Michael Rufino FINRA

Coryann Stefansson Federal Reserve Bank

Grace B. Vogel FINRA

FB - 3 SeniorInvestors-Challengesand Regulatory Issues• RegulatoryFocusonSeniorClients• SpecialConsiderationsforPre-Retirees Age55andAbove• SalesPracticeandSuitabilityIssues- Focus on Annuities• NewProductsforanAgingPopulation- LifeSettlements• DealingwiththeHeirs

Moderator:

Richard Link Edward Jones

26

AGENDA

Panelists:

John Fahey U.S. Securities and Exchange Commission

Paul Matecki Raymond James Financial Services Inc.

Eric Moss FINRA

Loren Schechter Duane Morris LLP

Ryan Wilson AARP Public Policy Institute

FB - 4 DevelopmentsinCompliance Technology• NewandEmergingSurveillanceand Monitoring Technologies• KeepingComplianceToolsCurrent• Home-GrownorVendorSolution?• MaintainingaSecureEnvironment• RecordRetentionRequirements

Moderator:

Joseph Castro Fidelity Investments

Panelists:

Ken Fasone Morgan Stanley Smith Barney

Jack Hewitt McCarter & English

Torben Winther Bank of America Merrill Lynch

William Wollman FINRA

FB - 5 M&A Litigation• Lyondell:DelawareSupremeCourt AddressesDirectors’Dutiesinthe ContextoftheSaleofaCompany• ContinuedImpactoftheFinancialCrisis onDerivativeActionsandM&A Litigation• MACandOtherClausesinLightof OverallMarketDeclines

Moderator:

Kathleen McCarthy Citigroup Global Markets Inc.

Panelists:

William B. Chandler Delaware Court of Chancery

Michael Chepiga Simpson Thacher & Bartlett LLP

Michael Coyne J.P. Morgan Chase & Co.

Scott Musoff Skadden, Arps, Slate, Meagher & Flom LLP

John Savarese Wachtell, Lipton, Rosen & Katz

27

AGENDA

FB - 6 InvestmentAdvisor-TheBroker-DealerPerspective• DealingwithRegulatoryChangesandthe EvolvingBusinessModel• TradingIssues-ImportantConcernsand Solutions• Fees-MakingAppropriateDisclosures and Best Practices• AdvertisingandMarketing-Dealingwith Practical Problems

Moderator:

Brad Cetron Neuberger Berman LLC

Panelists:

Connie Ahrens Edward Jones Barry Barbash Willkie Farr & Gallagher LLP

Chris Jackson Deutsche Asset Management, Inc.

Jonathan Morris Barlcays Wealth

FB - 7 Arbitration II• FutureofMandatoryPre-Dispute Arbitration• InstitutionalArbitrationClaims

• DevelopmentsandTrendsinArbitration ClaimsArisingfromSalesofNon- Traditional Products (Hedge Funds, StructuredProducts,VariableandEquity IndexedAnnuities,LeveragedETFs)• CurrentDevelopmentsinElectronic DiscoveryandtheImpactonArbitration

Moderator:

Andy Weinberg Deutsche Bank AG

Panelists:

H. Nicholas Berberian Neal, Gerber & Eisenberg LLP

Don Davidson Bingham McCutchen LLP

Linda Fienberg FINRA

Peter Fruin Maynard, Cooper & Gale, P.C.

Colleen Hankins Fidelity Investments

FB - 8 MaterialNonpublicInformation• WhatIsIt?TheDifferenceBetween Market Color and Material Nonpublic Information• WhereIsIt?TheVariousSourcesof NonpublicInformationinaMultiservice Financial Institution• HowWelldoInformationBarriers Work?• TheViewoftheRegulator

28

AGENDA

Moderator:

Michele Siano D.E. Shaw & Co., L.P.

Panelists:

Robert Cole J.P. Morgan Chase & Co.

John Crowe Barclays Capital

Daniel Hawke U.S. Securities and Exchange Commission

Karen O’Toole Fidelity Investments

Linda Chatman Thomsen Davis Polk & Wardwell

FB - 9 EthicsfortheBusinessAttorney (Ethics CLE)• AttorneyClientPrivilegeIssues-Cross Border,Audits,InternalInvestigations• LegislativeDevelopmentsRe:Privilege• FederalRuleofEvidence-Rule502• RisingStandardsforProtectionofClient Data• Conflicts,ConfidentialityandNon- Compete Issues•ElectronicDiscovery• BroadcomIssues

Moderator:

Michael Stone Cardozo Law School

Panelists:

Linda Drucker Charles Schwab & Co., Inc.

Paul Merolla LeClair Ryan George Schieren Gibson, Dunn & Crutcher LLP

Audrey Strauss Fried, Frank, Harris, Shriver & Jacobson LLP

Harry Weiss WilmerHale

Session C Panels - 2:15pm to 3:30pm

FC - 1 Compensation Issues• TaxingofBanks:IssuesandImplications forCompensation• ExecutiveandEmployeeCompensation- CurrentStateofRegulationintheU.S. and Globally• CompensationIssuesforProducers -Bonuses,Clawback,Poaching -IncentivesandConflicts• ComplianceandLegalInputinto Compensation Decisions

Moderator:

Barbara Bishop Newedge Group

Panelists:

Mike Delikat Orrick, Herrington & Sutcliffe LLP

29

AGENDA

Peter Haller Credit Suisse

Ira Hammerman SIFMA

Annie Hsu BNP Paribas Securities Corp.

Mark Poerio Paul, Hastings, Janofsky & Walker LLP

FC - 2 TheEvolvingRoleofLegal and Compliance in theCurrentEnvironment• LessonsLearnedfromtheEconomic MeltdownandtheImpactonLegaland Compliance• PolicingtheInteractionBetweenCapital Markets and Retail• NewRegulatoryChallenges:Rapid-Fire RuleChanges;TheRiseof StateRegulators,Reorganizationof theSECEnforcementDivisionandthe RoleofBankRegulators• PartneringwithRiskFunctions

Moderator:

Jacqueline LiCalzi Morgan Stanley

Panelists:

Brandon Becker TIAA-CREF

Susan Boudrot Fidelity Brokerage Services

Herbert F. Janick, III Bingham McCutchen LLP

Gregory Johnson J.P. Morgan Chase & Co.

Anthony Primiano Bank of America Merrill Lynch

FC - 3 AlternativeDisputeResolutionofComplexLitigation• FilingandSettlementTrends• HowandWhentoEvaluateYourCase andPositionItforResolution• MediationTechniques• UseofExpertsintheSettlementProcess

Moderator:

Steve Haber Deutsche Bank AG

Panelists:

Bruce Angiolillo Simpson Thacher & Bartlett LLP

Stuart Baskin Shearman & Sterling LLP

Eric D. Green Boston University School of Law Resolutions, LLC

Vinita Juneja NERA Economic Consulting

Mary Reisert Citigroup Global Markets Inc.

30

AGENDA

FC - 4 Securities Regulatory ExaminationsandInquiries-TheFirmPerspective• PreparationPriortoNotificationofExam• NoticeofCommencementofExam• HandlingtheDay-to-DayExamination• DeficiencyLetter,Responseand Follow-up• SpecializedExams

Moderator:

Joy Weber UBS Financial Services Inc.

Panelists:

Evan Gordon J.P. Morgan Chase & Co.

Dwayne Hare-Bey RBC Capital Markets Corporation

Michael Ludwig Credit Suisse

Hans Reich FINRA

Andrew Sidman Bressler, Amery & Ross, P.C.

FC - 5 Corporate Finance and the Capital Markets• CurrentIssuesandTrendsinOrigination andFinancing:RegulatoryRamifications• Restructurings,Recapitalizations,and DistressedSituations:Reshuffling CapitalStructure,Insolvency,Workouts and Bankruptcies, and Issues Around MaterialNonpublicInformation• Government“Guaranteed”Offerings• TheGovernmentasClient• AntitrustUndertheObama Administration

Moderator:

Todd Baskin Bank of America Merrill Lynch

Panelists:

Dan Corkery UBS Investment Bank

Michael Kaplan Davis Polk & Wardwell

Adam Meshel Citigroup Global Markets Inc.

Frank A. Preite Credit Suisse

Chris Walmsley RBC Capital Markets Corporation

31

AGENDA

32

FC - 6 PonziSchemes-DetectingandPreventing• PonziSchemesintheHeadlines• NewRulesandRegulatoryFocus -FINRAOfficeoftheWhistleblower - SEC Surprise Inspections -NewCustodyRules• HowtoDetect-theWarningSigns -VarietyandConfusion -TheAppearanceofSuccess• HowtoPrevent-InternalControlsare theBestDefense - Enhanced Due Diligence and OversightforBranchesandAffiliate Transactions -MonitoringandSupervision - Controlling Access, Entitlements and Security

Moderator:

Paul May ICAP

Panelists:

Scott Friestad U.S. Securities and Exchange Commission

Cameron Funkhouser FINRA

Noah Perlman Morgan Stanley

Jonathan Polkes Weil, Gotshal & Manges LLP

James S. Shorris FINRA

FC - 7 Mutual Fund Sales Practices• SalesPracticesandSuitabilityIssues forMutualFundsandOtherPooled InvestmentProducts• DisclosureDevelopments:Summary Prospectus,PointofSaleDisclosureand Alternatives• ConflictsTouchingtheBrokerage Process:DisclosureofMarketing Dollars,SoftDollars,Giftsand Entertainment,RevenueSharing, Rule 12b-1 and Rule 2830• RegulatoryExaminationand EnforcementPriorities• HandlingtheBoardofTrustees

Moderator:

Charles Senatore Fidelity Investments

Panelists:

Suzanne Auletta Bank of America Merrill Lynch

Joseph Furey Legg Mason

Angela Goelzer FINRA

Lori Martin WilmerHale

Nicholas Piccininni Wells Fargo Advisors, LLC

AGENDA

33

FC - 8 ManagingLegalIssuesforSmall and Regional Firms• UniqueIssuesforManagingand ResolvingRegulatoryMatters• RecruitingIssuesandConsiderations withtheProtocol• ManagingConflictsandSharingRolesin SmallerOrganizations• FunctioningasaCompetentSpecialist WhenYourJobDictatesYouarea Generalist• EffectivelyInterfacingwithFirm Management

Moderator:

James Ritt Morgan Keegan & Co

Panelists:

Brad Busscher Messirow Financial, Inc.

Dan Donovan Donovan & Rainie

John Ivan Janney Montgomery Scott LLC

Larry Martinez D.A. Davidson & Co.

David Minnick Stifel, Nicolaus & Company, Incorporated

Attendees seeking CLE credit for their attendance at the 2010 Annual Seminar must provide bar information when registering for the Seminar.

A processing fee of $65.00, for up to three (3) states, will apply to all CLE credit requests.

It is the responsibility of the registrant to comply with all rules and regulations governing the jurisdictions in which the attendee is seeking credit.

Panel attendance must be certified by each registrant seeking CLE credits. For convenience, SIFMA CL will provide on-site computer kiosks for attendees to review their panels and certify attendance.

Certification, via kiosk, can be done at one time for all panels attended on the last day of the Seminar. Attendees do not need to certify after each panel. CLE Credit cannot be certifiedaftertheSeminaradjournsonMay7th, 2010.

Applications for CLE approval of all courses will be made in all states that have such a requirement. SIFMA CL is an accredited New York State CLE provider. This program offers transitional and non-transitional courses appropriate for attendees seeking CLE credit. SIFMA CL, as a CLE program sponsor, complies with the reporting requirements for each jurisdiction in which the Seminar is granted credit.

AGENDA CLE CREDITS

REGISTRATION

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Ratesback.pdf 1/29/10 2:25:41 PM

REGISTRATION RATES SIFMA Compliance and Legal Society is offering discounted registration fees to its members for the 2010 Annual Seminar.

Registration fees for current SIFMA CL members are based on the attendee’s 2010 membership type.

Regulatory: $300.00Industry: $500.00Unaffiliated2010Member $500.00Counsel: $990.00Special: $990.00Non-Member: $1,200.00

Included with your Registration Fee is access to all General Sessions, Panels, a CD-ROM of Seminar Materials, Continental Breakfast, Refreshment Breaks, Luncheons, and Evening Receptions.

HOW TO REGISTER

SIFMA CL Member

Log on to https://members.siacl.com using your username and password.

Once logged in, click on the “Events” tab in the header bar.Click the “2010 Annual Seminar” link under the “Featured Events”.Scroll down to the Tasks section on the webpage and click on the “Register Now” link.

If you have forgotten your password, please email techsupport@sifmacl.org.

Non – Member

Log on to https://members@siacl.com and click on “Obtain a Non-Member Account”.

Follow the instructions to sign up as a non-member. A non-member account will allow limited access to the SIFMA CL Member System, which includes the ability to view upcoming events and register for select events at a non-member rate.

ApplyforMembership

Non-members may apply for membership to the SIFMA Compliance & Legal Society.

To apply, click on the “Become a Member” link on the main log in screen at https://members@siacl.com. Please note that new applicants will undergo a brief review period before their membership will be approved. This review period can take up to five (5) business days. Please note that new applicants will not be eligible for member-preferred registration rates until their application has been approved. Membership approval letters will be sent to applicants via email.

34

REGISTRATION INFORMATION

GUEST/SPOUSEREGISTRATION

Seminar attendees are welcome to bring guests and / or a spouse to the 2010 Annual Seminar. Guest / Spouse Registration: $150.00*

Included with the Guest / Spouse Registration Fee is access to Guest / Spouse only extended Breakfasts, Luncheons, and Evening Receptions. NOTE: Work Colleagues are not permitted to register as a guest.

*AllGuest/SpouseRegistrationsmustgothroughanapprovalprocess.IftheGuestisaworkcolleague,theregistrationwillbedenied.

If the Guest / Spouse Registration is approved, the individual will receive an email approval.

PAYMENTS/CONFIRMATIONS

Upon completing your Seminar registration, you will be prompted to make a payment by credit card or pay by check. If you pay by credit card, you will immediately receive an automated confirmation receipt email. If you select to pay by check, you will immediately receive an invoice for the payment. Once the check payment is received and applied to your registration, you will receive a automated confirmation receipt email.

CANCELLATIONS

Cancellation requests are subject to a $50.00 fee and should be emailed to cancellations@sifmacl.org.

All registration and educational event fees are non-refundable after April 2nd, 2010.

Regardless of cancellation, registrants are entitled to receive the CD-ROM of Seminar Materials. All requests for the CD-ROM must be made at the time of cancellation.

SUBSTITUTIONS

Substitution requests should be sent to info@sifmacl.org.

SEMINAR MATERIALS

Panel Outlines and Materials plus the Annual Survey of Broker-Dealer Litigation will be provided on a CD-ROM to all registered attendees.

FINANCIAL AID

If you are interested in applying for financial aid for the Seminar, a copy of the SIFMA CL’s Financial Hardship Policy may be obtained from the Administrative Office by calling (212) 629-9393 or by sending an email to info@sifmacl.org.

35

SEMINAR LOCATION INFORMATION

SeminarVenue

Gaylord National Hotel and Convention Center201 Waterfront StreetNational Harbor, Maryland 20745

Phone: 301-965-2000Website: www.GaylordNational.com

Registration, General Sessions, and Panel Sessions for the SIFMA CL Seminar will be located in the Convention Center of the hotel.

Transportation

Airports

Reagan International Airport (DCA)

Distance to Gaylord National: 8 Miles Estimated Driving Time: 15 Minutes

Washington Dulles International Airport (IAD)

Distance to Gaylord National: 35 Miles Estimated Driving Time: 45 Minutes

Baltimore Washington International (BWI)

Distance to Gaylord National: 42 Miles Estimated Driving Time: 45 Minutes

Shuttle service, taxi stand, and rental car companies located in baggage claim area at all three airport locations.

Train Station

UnionStation-Washington,D.C.-AmtrakTrains

Distance to Gaylord National: 10 Miles Estimated Driving Time: 20 Minutes

Car Rentals: Alamo - National, Avis, Budget, and Hertz are located on the street level. Taxi stand located at entrance on street level.

36

HOTEL RESERVATIONS / TRAVEL DISCOUNTS

HotelReservations

GaylordNationalHotel&ConventionCenter

Preferred Room Rate: $276.00 (plus tax) Single/Double

Preferred Rate Available: May 2nd - May 10th, 2010

(Preferred Rate extended 3 days prior and 3 days following program dates, based on availability.)

Reservations: (301) 965 - 4000 (Must Provide Room Block Name)

Room Block Name: SIFMA CL 2010 Seminar

OtherHotelsintheVicinity

Westin Washington National Harbor (301) 749 - 4755

Residence Inn National Harbor (301) 567 - 3999

SIFMA CL does not have a room block at the other hotels. Other hotels are across the street from the Gaylord National Hotel & Convention Center.

TravelDiscounts

Airlines

American Airlines - 5% Discount:

Website: www.aa.com (Preferred - No Ticketing Fee)

Meeting Services: (800) 433-1790 (Ticketing Fee Applies)

Valid Dates: May 3rd to May 9th, 2010

Promotion Code: A9350AU

* Valid for percentage discount travel from all markets where American Airlines, American Eagle, American Connection Service and all oneworld Alliance Partners provide service.

Delta Airlines - Variable Discount:

Meeting Services: (800) 329-1111 (Ticketing Fee Waived)

Valid Dates: May 3rd to May 9th, 2010

Promotion Code: NM588

* Discounts are applicable to base fares greater then $120.00 each way. Round trip travel required.

37

TRAVEL DISCOUNTS

RentalCars–VariableDiscounts*

Avis Website: www.avis.com

Avis: (800) 331-1600

Valid Dates: May 1st to May 10th, 2010

Discount Code: J629039

* Avis will calculate the discount based on your specific rental length and car selection.

ShuttleService-Roundtrip

Super Shuttle Website: https://www.supershuttle.com/GroupRez/TripDetails.aspx?GC=M73HN

Valid Dates: May 1st - May 14th, 2010

Discounts: $6.00 Discount to/from Regan International * $6.00 Discount to/from Washington Dulles International * Discount Code: M73HN * Discount rates apply to online bookings only.

SelfParkingatGaylordNationalHotel

Parking: Available to All Attendees

Discount: $14.00 Self Parking

Location: Self Parking Levels and Lots on Property

Please visit the SIFMA CL Information Center and ask for a Parking Ticket. SIFMA CL tickets need to be presented when exiting parking areas to receive the discount.

38

MISCELLANEOUS

Press

Send requests to attend the Seminar as Press to events@sifmacl.org. Requests must be submitted by April 16th, 2010 to be considered for approval.

If approved, Press will be permitted access to the General Sessions on Thursday, May 6th 8:00am to 10:00am and Friday, May 7th 8:00am to 10:00am, Breakfasts, Breaks, Luncheons, and Evening Receptions.

Press are not permitted to attend Panel Sessions.

PressRegistrationFee-$300.00

Attire

The recommended attire during the day, including General Sessions and Panels is as follows: comfortable, casual clothes (pants, long shorts, skirts, and short or long sleeve shirts). Due to variations in temperature caused by the hotel air conditioning system, sweaters or a light jacket is recommended.

At the evening receptions, dresses and jackets (with or without neckties) are commonly worn, although some attendees prefer to dress more casually.

Badges

Attendees and guests are required to wear their badges at all times in order to guarantee admission to all events, including breakfasts, luncheons, receptions, and exhibit area. No person will be admitted to Seminar activities without a name badge. All areas of the Seminar will be monitored for badges.

Guests are not permitted to attend General Sessions or Panel Sessions.

CellPhonesandOtherHandheldDevices

All electronic communication devices are to be turned off or set to vibrate during all General Sessions and Panels.

Video,AudioandPhotography

The use of video, audio, and photographic devices during the Seminar is strictly prohibited without prior approval by SIFMA CL.

EducationalEvent

National Air and Space Museum Tour will be organized by SIFMA CL and will take place on Friday, May 7th from 9:30am - 1:30pm. Guests and spouses are invited. Tour will include bus transportation to/from Museum, en route highlights of points of interest, and private tour with experienced Museum docent guide. Option to sign up for tour is available when you register for the 2010 Annual Seminar.

39

SPONSORS

DIAMOND SPONSORS

Bingham McCutchen399 Park AvenueNew York, NY 10022Neal Sullivan202-373-6159neal.sullivan@bingham.comwww.bingham.com

Bingham offers a broad range of market leading practices focused on global financial services firms, with 1,100 lawyers in 12 offices, including leading financial and regulatory centers such as New York, Boston, London, Washington and Tokyo. Our attorneys work with and understand the securities industry, brokerage, trading and asset management businesses and the regulatory and legal framework in which they operate. We advise clients in responding to product development and trading questions, handling difficult regulatory and counterparty issues, establishing compliance programs, reviewing internal processes, performing legal and regulatory assessments of new products, and managing investigations or enforcement matters at the state, federal or SRO level. We advise on legal and regulatory matters for a full range of product areas, including mortgages; convertibles; high-grade, high-yield and distressed debt; municipals; energy; derivatives and structured products. With the addition of McKee Nelson, we have a market leading practice with the resources and experience to manage volume transactions as well as to design and execute sophisticated, one-off deals.

Bressler,Amery&Ross,P.C.325 Columbia TurnpikeFlorham Park, NJ 07932Dominick Evangelista973-514-1200devangelista@bressler.comwww.bressler.com

Bressler, Amery & Ross, P.C. specializes in representing securities industry clients nationwide in litigation and regulatory matters including arbitrations, private client and class action litigation, state, federal and self-regulatory investigations and proceedings and internal investigations. We also counsel our clients on internal procedures, training, business assessment and risk management. With broad-ranging expertise in each of these areas, the firm works closely with its clients to develop creative, cost-effective solutions that achieve the best possible results.

40

SPONSORS

DIAMOND SPONSORS

Paul,Weiss,Rifkind,Wharton& Garrison LLP1285 Avenue of the AmericasNew York, NY 10019-6064Nicole Williams212-373-2055nmwilliams@paulweiss.comwww.paulweiss.com

Paul, Weiss is widely recognized as one of the nation’s pre-eminent law firms in the field of securities litigation defense, and was named a Securities Defense Firm of the Year by Law360. We have been acknowledged by our peers in Chambers USA as a firm that “truly understand[s] how to try cases in the financial sector,” and is “a bastion of securities litigation, never more than a step away from involvement in the legal consequences of the largest Wall Street scandals.” We have been involved in nearly every high-profile securities matter of recent years and continue to represent the world’s most prominent public companies, financial services firms and officers and directors in securities class actions, regulatory investigations and enforcement proceedings, including many high profile and bet-the-company matters.

PLATINUMSPONSORS

Morgan,Lewis&BockiusLLP1701 Market StreetPhiladelphia, PA 19103215-963-5000www.morganlewis.com

Started in 1979, Morgan Lewis’s Securities Industry Practice is one of the largest and most sophisticated in the country. Our practice combines the skills and expertise of more than 150 lawyers, over 30 of whom joined us after distinguished careers at the SEC, FINRA, DOJ and IRS. Our team includes regulatory, enforcement defense, litigation, employment and M&A lawyers who are dedicated to representing leading investment banking and brokerage firms, investment advisers and mutual fund companies. To provide comprehensive and integrated advice to our financial services clients, our team draws on the firm’s broader strength and expertise in areas including tax, employee benefits and ERISA, antitrust, intellectual property and technology law. Morgan Lewis: Sophisticated Wall Street savvy and veteran regulatory know-how.

41

SPONSORS

PLATINUMSPONSORS

Schulte Roth & Zabel919 Third AvenueNew York, NY 10022Betty Santangelo212-756-2587betty.santangelo@srz.comwww.srz.com

Schulte Roth & Zabel LLP (“SRZ”) is a national law firm with 450 attorneys, offices in New York, Washington, D.C., and London, and a focus on financial institutions, including securities firms, bank holding companies and banks. The firm’s advisory and litigation practice is built on 40 years of experience addressing securities and bank regulatory compliance and enforcement issues. It is staffed with a deep bench of talent that includes former members of the SEC Division of Enforcement, former Assistant U.S. Attorneys and former regulatory counsel for major investment banks. Additional expertise is provided by the firm’s bank regulatory department, a group of attorneys who regularly provide counseling, transaction and litigation services to depository institutions, lending companies, money transmitters and other financial institutions and their holding companies. SRZ’s advisory work includes counseling investment funds and fund managers; investment banking institutions and Nasdaq market-makers; institutional and retail brokerage firms, clearing firms and prime brokerage firms; national accounting firms; public and private companies; and officers and directors, on registration and ongoing compliance matters under state and federal securities laws and SEC, CFTC and FINRA regulations. SRZ conducts internal investigations and represents clients in examinations, investigations and actions brought by the DOJ, SEC, CFTC, FINRA, regional exchanges, state and local prosecutors, and state securities regulators. The firm also has an extraordinary track record in the defense of

civil actions, including derivative suits and shareholder class actions.

GOLD SPONSORS

AARP601 E Street, NWWashington, DC 20049Michael Herndon202-434-2235mherndon@aarp.orgwww.aarp.org/forfinancialpros

AARP is a nonprofit, nonpartisan organization of over 40 million members that helps people 50+ have independence, choice and control in ways that are beneficial and affordable to them and society as a whole. AARP does not endorse candidates for public office or make contributions to political campaigns. AARP strives to influence positive change in individuals, companies, and large organizations through various means including education and outreach, ‘AARP The Magazine,’ offices in every state, and an affiliated charity AARP Foundation. AARP is pleased to offer financial services resources including, A Financial Professional’s Guide to Working with Older Clients and A Financial Professional’s Guide to Conducting Seminars for Older Investors. These booklets offer suggested best practices and information on social, family, and generational issues, physical and mental impairments, and written and online communications in working with older clients. You can download copies of both and learn more about AARP financial services resources at www.aarp.org/forfinancialpros.

42

SPONSORS

GOLD SPONSORS

Allen&OveryLLP1221 Avenue of the AmericasNew York, NY 10020Michael Feldberg212-610-6300michael.feldberg@allenovery.comwww.allenovery.com

Finance and securities litigation is a core component of Allen & Overy’s U.S. litigation practice. Our team includes, four former Assistant United States Attorneys from the Southern District of New York (including a former Executive Assistant United States Attorney), two former Chiefs of the Securities and Commodities Frauds Unit, a former Senior Trial Counsel with the SEC, and the founding Director of the Securities Arbitration Clinic at Fordham University School of Law. In addition, six of our partners have been recognized as leading litigators by Chambers USA. As Securities Law 360 notes, “Allen & Overy’s U.S.-based litigation practice [has] a host of high-profile clients…the group’s 65 years of collective litigation experience and long-standing professional connections are winning them points, both in the courtroom and around the world.”

Dorsey & Whitney LLP50 S. Sixth StreetMinneapolis, MN 55402Bob Kleiber612-492-5315kleiber.bob@dorsey.comwww.dorsey.com

Companies and individuals around the world rely on Dorsey to meet legal and business challenges that impact success. With 19 offices worldwide, more than 650 lawyers collaborate to meet client needs that defy easy categorization and require advice spanning multiple practice areas. Committed to understanding our clients’ businesses and passionate about service, Dorsey attorneys create solutions and creative strategies that help our clients succeed. Dorsey securities litigation and enforcement lawyers have tremendous experience trying cases in federal and state courts and in arbitration proceedings. That deep trial experience gives Dorsey securities and enforcement lawyers real perspective, which adds value and depth to their strategic legal advice and counseling in addressing SEC, FINRA, and state AG investigations, DOJ subpoenas and inquiries, internal investigations, corporate compliance, and overall securities advice. Issuers, borrowers, trustees, underwriters, purchasers and warehouse lenders depend on Dorsey transactional lawyers for a full range of securities transactions, including mergers and acquisitions, “first of its kind” securitizations, underwritings, and offerings. Public companies turn to Dorsey lawyers for substantial experience in corporate and securities law including disclosure requirements; proxy statements and annual reports; analyst relations; executive compensation matters, corporate governance and board fiduciary duty issues; issuer stock repurchase programs, and more. Dorsey securities litigation and enforcement lawyers and transactional lawyers also work collaboratively to

43

SPONSORS

GOLD SPONSORS

provide creative, strategic solutions when challenges and needs arise. With this depth of experience, industry knowledge, collaboration, and commitment to value, service, and excellence, Dorsey is your first choice when securities issues and challenges arise.

Loeb & Loeb LLP345 Park AvenueNew York, NY 10154Alyson Weiss212-407-4188aweiss@loeb.comwww.loeb.com

Loeb & Loeb LLP is a multi-service national law firm with offices in Los Angeles, New York, Chicago, Nashville and Washington, D.C. Loeb is committed to providing aggressive, high quality and cost-effective representation to clients in the financial services industry. Loeb’s attorneys bring vast experience and a service-oriented approach to provide a broad range of legal services to leading securities firms across the country, including representation in complex securities litigation and arbitration, employment disputes, regulatory proceedings, internal investigations and transactional matters. Loeb & Loeb LLP is proud to support the SIFMA Compliance and Legal Society.

Neal, Gerber & Eisenberg LLPTwo North LaSalle Street, Suite 1700Chicago, IL 60602H. Nicholas Berberian312-269-8005nberberian@ngelaw.comwww.ngelaw.com

Neal, Gerber & Eisenberg LLP is a Chicago based law firm providing legal services to a diverse group of clients in a broad spectrum of domestic and global business transactions, regulatory proceedings, and litigation matters. The Securities & Commodities Litigation Practice Group is proud to have the privilege of representing financial services firms and persons affiliated with them for over thirty years with respect to a wide range of issues in litigation, arbitration, mediation, employment related disputes, and regulatory matters in numerous forums throughout the country. Our in-depth knowledge of the financial services industry and regulatory environment, coupled with our extensive, national courtroom and arbitration trial experience, enables us to mount sophisticated, successful defenses and conduct internal investigations on a cost-effective basis. We represent many of the major national, regional and local broker-dealers, and commodities firms, as well as affiliated individuals, across the country. Today, Neal Gerber Eisenberg is a firm of nearly 175 attorneys who share common values of integrity, a dedication to high quality legal services and a commitment to diversity. Our mission is to deliver superior individualized client service in a thoroughly integrated manner and on a cost efficient basis. Our culture of teamwork, focus on client needs and cost concerns, willingness to adapt quickly to meet changing marketplace demands and drive to be the best and most efficient providers of legal services are key factors behind the firm’s success.

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GOLD SPONSORS

O’Melveny&MyersLLP1625 Eye Street, NWWashington, DC 20006Barbara Stettner202-383-5283bstettner@omm.comwww.omm.com

For nearly 125 years, O’Melveny & Myers LLP has helped clients succeed in adapting to the ups and downs of countless business cycles. With approximately 950 lawyers in 14 key Asian, European, and U.S. economic and political centers, we understand the challenges facing securities industry leaders and are able to advise on the complex challenges of succeeding in the global economy. Our lawyers include former senior members of the SEC’s Division of Enforcement, the Division of Corporation Finance, the Division of Trading and Markets, the Office of Compliance, Inspections, and Examinations, the Office of International Affairs, and former federal prosecutors with specific and longstanding experience in criminal enforcement of the securities laws. We advise numerous financial institutions on complex regulatory, compliance and securities law matters. We assist clients in developing compliance policies and supervisory procedures, conduct reviews of supervisory systems, assist in responding to examinations, inquiries and industry sweeps, and remediate identified deficiencies. We routinely defended clients in enforcement actions and responded to inquiries involving financial fraud, insider trading, broker dealer and investment adviser fraud, market practice and sales practice violations, as well as in regulatory actions and investigations involving SRO conduct rules including, among others, AML, order handling, political contributions, gifts and entertainment, and the distribution securities. Clients

value our lawyers’ skills and creative strategies, as well as our responsiveness, common sense and civility. Our work regularly garners international awards and recognition including our ranking on American Lawyer’s 2009 A-List of law firms.

SILVERSPONSORS

Gibson, Dunn & Crutcher LLP200 Park AvenueNew York, NY 10166Janel Laughlin212-351-3977jlaughlin@gibsondunn.comwww.gibsondunn.com

Gibson, Dunn & Crutcher has over 1,000 lawyers in 16 offices located in major cities throughout the United States, Europe, the Middle East and Asia, including New York, Los Angeles, Washington, D.C., Orange County, San Francisco, Palo Alto, London, Paris, Munich, Brussels, Dubai, Singapore, Sao Paulo Century City, Dallas and Denver. We are committed to providing the highest quality legal services to our clients in a personal, responsive manner. Gibson Dunn is a recognized leader in representing companies ranging from start-up ventures to multinational corporations in all major industries. Clients include most of the Fortune 100 and more than half of the Fortune 500 companies. All offices of the firm are managed, operated and evaluated as part of a single enterprise with an emphasis on sharing expertise and personnel in the best interests of our clients. A particular strength of Gibson Dunn is our ability to integrate our practitioners and practice areas, so that we operate as one firm with many offices covering key cities throughout the U.S., Western Europe, the Middle East, Latin America, and Asia. For U.S. and non-U.S. clients alike, we are able to deliver the full range of skills and services represented by our

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lawyers. American Lawyer ranked Gibson Dunn on its 2009 A-List of the nation’s law firm elite for the fourth consecutive year. The American Lawyer considers the 20 A-List law firms to be the most elite law firms in the country.

Weil, Gotshal & Manges LLP767 Fifth AvenueNew York, NY 101053Jonathan Polkes212-310-8881jonathan.polkes@weil.comwww.weil.com

With 1,300 lawyers in 20 offices across the US, Europe and Asia, Weil Gotshal is a leader in the marketplace for sophisticated, international legal services. An important part of the firm’s philosophy is the “one-firm” team approach. We work collegially and efficiently together, providing our clients seamless service no matter how many offices, time zones and areas of expertise are involved. We have a business-oriented perspective and offer our best judgment on close calls and tough issues. In addition to professional excellence and responsiveness, we are deeply committed to diversity and inclusion in our law firm, and to providing pro bono legal assistance and other public service in our communities.

BRONZE SPONSORS

Debevoise&PlimptonLLP 919 Third Avenue New York, NY 10022 Fred Loessel 212-909-1946 floessel@debevoise.com www.debevoise.com

Debevoise & Plimpton LLP is a leading international law firm offering a diverse range of sophisticated legal services in litigation, international dispute resolution, corporate, real estate, tax, and trusts and estates law to businesses and individuals. Debevoise’s offices are located in New York, Washington, DC, London, Paris, Frankfurt, Moscow, Hong Kong and Shanghai. The Litigation Department handles a broad range of complex matters in courts in the United States, the United Kingdom, France and elsewhere, as well as before agencies, administrative bodies and arbitration tribunals worldwide. Areas of concentration include securities litigation and enforcement proceedings, white-collar criminal matters, internal corporate investigations, Foreign Corrupt Practices Act, antitrust, bankruptcy, general commercial litigation, international dispute resolution, intellectual property and media, insurance industry disputes and products liability. The Department includes the Chair, Mary Jo White, the former U.S. Attorney for the Southern District of New York; John S. Kiernan, Co-Chair of the Department; Michael B. Mukasey, former United States Attorney General and Chief Judge of the United States District Court for the Southern District of New York; Lord (Peter) Goldsmith QC, PC, the European Chair of Litigation who served as the UK’s Attorney General; 10 former Assistant U.S. Attorneys, including a former Under Secretary of the U.S. Treasury for Enforcement; a former Chief Assistant U.S. Attorney for the Southern and Eastern Districts of New York and a former Associate Director of the Securities and Exchange Commission’s Division of Enforcement.

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BRONZE SPONSORS

K&L Gates1601 K Street, NWWashington, DC 20006Stephen Topetzes202-778-9328stephen.topetzes@klgates.comwww.klgates.com

K&L Gates LLP comprises approximately 1,800 lawyers who practice in 35 offices located on three continents: Anchorage, Austin, Beijing, Berlin, Boston, Charlotte, Chicago, Dallas, Dubai, Fort Worth, Frankfurt, Harrisburg, Hong Kong, London, Los Angeles, Moscow, Miami, Newark, New York, Orange County, Palo Alto, Paris, Pittsburgh, Portland, Raleigh, Research Triangle Park, San Diego, San Francisco, Seattle, Shanghai, Singapore, Spokane/Coeur d’Alene, Taipei, Tokyo and Washington. K&L Gates represents leading global corporations, growth and middle-market companies, capital markets participants and entrepreneurs in every major industry group as well as public sector entities, educational institutions, philanthropic organizations and individuals. Our practice is robustly a full market practice at once regional, national and international in scope, and it is cutting edge, complex, and dynamic.

LeClairRyan830 Third Avenue, 5th FloorNew York, NY 10022Paul A. Merolla212-430-8030paul.merolla@leclairryan.comwww.leclairryan.com

LeClairRyan is an entrepreneurial law firm having 21 offices and over 300 attorneys. We provide business counsel and client representation in matters of corporate law and high stakes litigation. The mission of LeClairRyan is “excellence in client service.” We offer both high quality and exceptionally responsive legal services to our clients. We provide our clients the full benefit of our knowledge, expertise, enthusiasm, ability, and integrity. We strive to find creative, practical solutions to our clients’ problems. LeClairRyan’s Financial Services Regulation and Litigation Practice Area Team represents the entire spectrum of the securities industry, from global financial service companies to regional broker-dealers. We advise banks, broker-dealers, investment advisors, hedge funds, and insurance companies on legal, corporate, regulatory, compliance and risk management matters, including broker-dealer formation, investment advisory requirements, capital markets issues, market structure developments, research, and books and records. Our attorneys bring a broad range of enforcement experience based in part on senior positions formerly held with the SEC’s Division of Enforcement. We counsel individuals and entities in connection with investigations and civil and criminal enforcement actions, and represent individuals and entities in all manner of securities litigation, arbitration and mediation. We have significant experience

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representing public companies and their corporate officers and directors in litigation and regulatory matters. We are also very active in matters arising from the recent economic and sub-prime mortgage crises. LeClairRyan welcomes the opportunity to assist you in achieving your business goals and satisfying your legal and compliance obligations.

Munger, Tolles & Olson LLP 355 South Grand Ave., 35th Floor Los Angeles , CA 90272-1560 George Garvey 213-683-9153 george.garvey@mto.com www.mto.com

Munger, Tolles & Olson LLP is committed to providing its clients with the highest quality legal services in a cost-effective manner. The 194-lawyer firm, with offices in Los Angeles and San Francisco, maintains a nationally recognized practice representing clients in a broad range of complex and high-profile commercial litigation matters, specializing in the areas of securities, antitrust, intellectual property, employment and white collar defense. MTO represents securities firms, issuers, special litigation committees, directors, officers, and other professionals in cases ranging from traditional securities class actions, to disputes with individual and institutional investors, to mergers and acquisitions litigation. MTO’s securities lawyers defend cases involving complex financial products and trading

strategies, employee stock options, investment banking conflicts, municipal government fiscal practices, and financial accounting. The practice frequently combines civil, regulatory, criminal, and investigative aspects. MTO litigators know that keeping clients out of the courtroom can often be the best strategy and the firm assists clients in avoiding litigation through negotiation, mediation, or other alternative means. But when the time comes to take a case to trial, MTO’s judgment and experience are invaluable. In a survey conducted by The American Lawyer, the firm’s clients said that they called on MTO in “precedent-setting cases that require a creative mind” and in cases that require an “army of trial lawyers capable of waging war.” MTO has built its reputation by providing clients with exceptional judgment, creative thinking, and a deep commitment to solving their problems.

PREMIUMPATRONSPONSORS

Baker Hostetler45 Rockefeller PlazaNew York, NY 10111-0100Marc D. Powers212-589-4200mpowers@bakerlaw.comwww.bakerlaw.com

Baker Hostetler is among the nation’s 100 largest law firms with more than 600 attorneys in ten offices. Our primary practice groups are Business, Employment, Litigation, Intellectual Property and Tax. The firm has numerous specialty practices including a dedicated team of Securities Litigation and Regulatory Enforcement lawyers. The practice team members have been involved in many high profile matters in the past decade, including Adelphia Communications, Hollinger/Conrad Black, ImClone/Martha Stewart,

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PREMIUMPATRONSPONSORS

Refco and Freddie Mac, to name a few. We represent corporations and SEC regulated entities, as well as their officers, directors and committees, that face complex securities litigation. We handle private securities-related litigation, shareholder class actions, derivative suits, shareholder and partnership disputes, as well as AAA and FINRA arbitrations. We have achieved favorable trial results and settlements in securities controversies alleging financial fraud, insider trading, short selling squeezes, unsuitable trading, registration violations and breach of fiduciary duty. Our team has successfully handled hundreds of securities regulatory investigations nationwide before the SEC, CFTC, FINRA and state regulators for public companies, broker-dealers, mutual funds, hedge funds and their officers and associated persons. We work closely with our White Collar Defense team on matters which have criminal exposure and are regularly retained to conduct internal investigations for Board committees. We also have been asked by our clients to serve in a collaborative manner as Third Party Examiner for settlements with FINRA concerning their remediation programs.

Greenberg Traurig, LLP200 Park AvenueNew York, NY 10166Brad Kaufman561-650-7901kaufmanb@gtlaw.comwww.gtlaw.com

Greenberg Traurig is an international law firm with 1,750 attorneys and governmental affairs professionals. GT offers clients local resources and capabilities in more than 30 financial, business and government

centers, including more U.S. locations than any other Top 20 law firm on The National Law Journal’s 2009 NLJ 250. GT provides integrated legal services for clients worldwide. We offer a multidisciplinary team, including senior lawyers who have been the chief legal officers at major multinational companies and have spent years solving real-world problems in the business, political and legal arenas. We build teams around client needs, ensuring lean staffing, front-end planning and flexible billing, where appropriate. Our experience in multiple practice areas and our network of contacts in the United States and abroad position us to help clients achieve their objectives. Greenberg Traurig serves clients from locations in Albany, NY; Amsterdam, The Netherlands; Atlanta, GA; Austin, TX; Boston, MA; Chicago, IL; Dallas, TX; Denver, CO; Fort Lauderdale, FL; Houston, TX; Las Vegas, NV; London, England*; Los Angeles, CA; Miami, FL; Morristown, NJ; New York, NY; Orange County, CA; Orlando, FL; Palm Beach County, FL; Philadelphia, PA; Phoenix, AZ; Sacramento, CA; Shanghai, China; Silicon Valley, CA; Tallahassee, FL; Tampa, FL; Tysons Corner, VA; Washington, D.C.; White Plains, NY; and Wilmington, DE. Additionally, the firm has strategic alliances with the independent law firms Studio Santa Maria in Milan and Rome, TA Lawyers GKJ in Tokyo and Weber Law Office in Zurich. *Operates as Greenberg Traurig Maher LLP.

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McCarter & English245 Park AvenueNew York, NY 10167Jack Hewitt212-609-6846jhewitt@mccarter.comwww.mccarter.com

McCarter & English offers a complete range of multi-disciplinary legal services to its clients, which include Fortune 500 and mid-cap companies, and some of the nation’s leading financial, industrial, pharmaceutical and commercial enterprises. In addition to litigation, the firm skillfully handles national, regional and local business transactions, and provides legal counsel to governments, institutions and individuals. McCarter & English also provides regulatory advice and counsel to broker-dealers, mutual funds, investment advisers and the nation’s top insurance carriers. Its White Collar Crime and Securities Litigation Group represents broker-dealers, financial services institutions and individual professionals in all phases of civil and regulatory proceedings. The Firm’s attorneys regularly appear in all federal and state courts, locally and nationally, and also in arbitration and regulatory proceedings before the SEC, NASD and NYSE. Founded 160 years ago, McCarter& English now has over 450 attorneys residing in seven cities along the Northeast Corridor, including Boston, New York, Newark, Philadelphia, Hartford, Stamford and Wilmington.

Proskauer 1585 Broadway New York , NY 10036 Nilda Nales 212-969-4063 nnales@proskauer.com www.proskauer.com

Proskauer is a global law firm advising clients worldwide from offices in Boca Raton, Boston, Chicago, Hong Kong, London, Los Angeles, New Orleans, New York, Newark, Paris, São Paulo, and Washington, D.C. The firm has broad experience in all areas of practice important to businesses, not-for-profit institutions and individuals. Our interdisciplinary Financial Services and Broker-Dealer practices represent a wide spectrum of financial institutions, including full service and boutique brokerage firms, domestic and foreign investment banks, investment advisers, investment companies, business development companies, hedge funds, private investment funds and banks. We provide counsel on securities regulatory matters, corporate and investment company governance, capital markets transactions, internal investigations, regulatory investigations, civil enforcement proceedings, criminal prosecutions, arbitrations and complex litigations. Our extensive industry knowledge and experience uniquely positions us to provide the pragmatic advice our clients value. In addition to many years of private practice, members of the group have served in the legal and financial communities as prosecutors, regulators, general counsel and chief compliance officers at industry firms, and as professors of law. Because of our deep experience and diverse client base, we have advised on many of the most significant and cutting-edge regulatory challenges confronting the securities industry.

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Thompson Hine LLP335 Madison AvenueNew York, NY 10017Michael Shannon212-344-5680Michael.Shannon@thompsonhine.comwww.ThompsonHine.com

Established in 1911, Thompson Hine is a business law firm dedicated to providing superior client service. The firm has approximately 400 lawyers in offices in Atlanta, Brussels, Cincinnati, Cleveland, Columbus, Dayton, New York and Washington, D.C. For the third consecutive year, Thompson Hine has ranked among the top 25 firms identified as delivering outstanding client service based on a national survey of corporate counsel conducted by the BTI Consulting Group, Inc. The Firm’s Business Litigation Practice Group is active in the defense of broker dealers, brokers and clearing firms and in the representation of members of the financial services industry in litigations, arbitrations, mediations and regulatory matters throughout the country. The firm’s litigators regularly represent financial services industry members in investigations conducted by the SEC, other regulators and congressional committees and also have handled many sensitive internal investigations and white collar criminal matters. Our Investment Management Group also provides a full range of services to mutual funds, investment advisors and hedge funds, including fund formation and regulatory issues. Our service to the industry is enhanced by our top tier Employment, ERISA and Intellectual Property and Privacy Practice Groups.

PATRON SPONSORS

Arnold & Porter LLP555 Twelfth St. NWWashington, DC 20004Michael Trager202-942-6976Michael.Trager@aporter.comwww.arnoldporter.com

Arnold & Porter LLP, an international law firm of more than 675 attorneys, has offices in Brussels, Denver, London, Los Angeles, New York, Northern Virginia, San Francisco, and Washington, DC. The firm maintains more than 25 practice areas, with a primary focus on litigation, transactional matters, and regulatory issues. Our securities enforcement and litigation practice is international in scope, and more than 60 lawyers practice in this area. They include former SEC and DOJ officials and other lawyers who have litigated precedent-setting securities matters. Together, we carry forward a tradition of excellence in securities enforcement and litigation representation that dates to the founding of our practice by the author of the seminal SEC antifraud rule, known as Rule 10b-5. Our success is based on creative thinking, diligence, and an in-depth knowledge of how the markets operate and the government regulates. We have substantial experience representing financial services firms, broker-dealers, investment banks, investment advisers, mutual funds, hedge funds, private equity firms, and other clients who participate in the securities markets. We handle civil and criminal investigations, enforcement actions, regulatory examinations, and other proceedings involving the SEC, DOJ, CFTC, FINRA, other securities and futures self-regulatory organizations, Congress, and state regulatory agencies. We also conduct internal investigations and independent reviews in response to regulatory issues (or as part of regulatory settlements), defend securities litigation, and counsel on compliance, crisis

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management, corporate governance, regulatory filings, and securities and market matters.

Curtis,Mallet-Prevost,Colt&MosleLLP101 Park AvenueNew York, NY 10178Victor L. Zimmermann Jr.212-696-6000vzimmermann@curtis.comwww.curtis.com

Curtis, Mallet-Prevost, Colt & Mosle LLP is a leading international law firm. Headquartered in New York, Curtis has 13 offices in the United States, Mexico, Europe, the Middle East and Asia. The firm represents a wide range of clients, including multinational corporations and financial institutions, governments and state-owned companies, money managers, sovereign wealth funds, family-owned businesses, individuals and entrepreneurs. Curtis has a worldwide practice that includes corporate law, banking and finance, capital markets, private equity, mergers and acquisitions, project finance and infrastructure development, investment management, restructuring and insolvency, litigation, international arbitration, taxation and real estate. The firm’s international orientation has been a hallmark of its practice for nearly two centuries.

FoxRothschildLLP100 Park Avenue, Suite 1500 New York, NY 10017Joseph M. Pastore III212-878-7900jpastore@foxrothschild.comwww.foxrothschild.com

Fox Rothschild LLP is a national law firm with more than 475 attorneys practicing in 15 offices coast to coast: Los Angeles and San Francisco, California; Stamford, Connecticut; Wilmington, Delaware; West Palm Beach, Florida; Las Vegas, Nevada; Atlantic City, Princeton and Roseland, New Jersey; New York, New York; and Blue Bell, Exton, Pittsburgh, Philadelphia and Warrington, Pennsylvania. Our lawyers provide a full range of legal services to public and private business entities, charitable, medical and educational institutions and individuals throughout the country. Fox Rothschild’s Securities Industry Group provides comprehensive representation to clients—including financial institutions, registered broker-dealers, insurance companies, financial advisors, hedge funds and individuals—engaged in the highly regulated securities and financial industry. Our services include defending individuals and entities in SEC, DOJ, CFTC, FINRA, PCAOB, state securities and insurance regulatory investigations and inquiries, as well as civil and criminal investigations. We also represent individuals and business entities in FINRA and NFA arbitrations involving both customer and industry disputes, as well as securities litigation in federal and state courts. Additionally, we conduct internal investigations and risk avoidance reviews for financial

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institutions and individuals, as well as providing back office assistance/reviews of procedures, preparation of manuals, customer documents and licensing issues. And we create and maintain broker-dealers, investment advisers, hedge funds and preparation and review of all filings and compliance materials and contracts, including but not limited to employment, intellectual property, licensing and clearing agreements.

Maynard Cooper & Gale PC1901 6th Avenue N, Suite 2400Birmingham, AL 35203Inge Selden205-254-1056iselden@maynardcooper.comwww.maynardcooper.com

Maynard, Cooper & Gale, P.C. is headquartered in Birmingham, Alabama and represents financial services industry clients in a variety of matters nationwide. The attorneys in the firm’s Securities Litigation group offer extensive experience in all facets of securities litigation and arbitration. The firm routinely represents broker-dealers and registered representatives in customer complaints, arbitrations, lawsuits and regulatory proceedings. In addition, the firm’s Labor and Employment group represents broker-dealers in connection with the full spectrum of employment claims both in court proceedings and in FINRA arbitrations. The firm makes every effort to see that each legal matter is handled in the most efficient and economically feasible manner, considering the nature and complexity of the matter.

Paul Hastings875 15th Street, N.W.Washington, DC 20005James Wareham202-551-1728jameswareham@paulhastings.comwww.paulhastings.com

Paul Hastings is a leading international law firm that provides innovative legal solutions to many of the world’s top financial institutions and Fortune 500 companies. With 18 offices across Asia, Europe, and the U.S., we have the global reach and extensive capabilities to provide personalized service wherever our clients’ needs take us. We were one of the first U.S. firms in Asia, and today are a leader in the region with offices in Beijing, Hong Kong, Shanghai, and Tokyo. We have a strong presence in Europe, with offices in key locations such as Brussels, Frankfurt, London, Milan, and Paris. And in the U.S., we are located in Atlanta, Chicago, Los Angeles, New York, Orange County, Palo Alto, San Diego, San Francisco, and Washington, D.C. Our core practices include banking and finance, bankruptcy and restructuring, capital markets, corporate/M&A, litigation and dispute resolution, intellectual property, project finance, investment management, real estate, labor and employment, and tax advisory services. It is the breadth and depth of our practice, our expansive geographic footprint, and deep industry experience that enable us to respond to the growing complexity of our clients’ business needs and provide them with the highest level of service.

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PATRON SPONSORS

Skadden, Arps, Slate, Meagher & Flom LLP4 Times SquareNew York, NY 10036Jay Kasner212-735-2628jay.kasner@skadden.comwww.skadden.com

With approximately 2,000 attorneys in 24 offices on five continents, Skadden, Arps, Slate, Meagher & Flom LLP and affiliates (“Skadden, Arps” or “Skadden”) serves clients in every major financial center. Our strategically positioned U.S. and international locations allow us proximity to our clients and their operations and ensure a seamless and unified approach at all times. For more than 60 years, Skadden has provided a wide array of legal services to the corporate, industrial, financial and governmental communities around the world in many significant corporate transactions and litigations. Our clients range from a variety of small, start-up companies to a substantial number of the 500 largest U.S. corporations and many of the leading global companies. We have represented numerous governments, many of the largest banks — including virtually all of the leading investment banks — and major insurance and financial services companies. The firm has more than 40 practice areas and advises clients in matters involving, among others, mergers and acquisitions, litigation and arbitration, corporate finance, corporate restructuring, securities law, banking, project finance, energy and infrastructure, antitrust, tax and intellectual property. Skadden, Arps emphasizes dedication to client service, teamwork across practice areas and offices, creativity,

responsiveness, operational efficiency and cost-effectiveness. Skadden was voted “Client Service Firm of the Year” by Chambers Global 2007, the last time the award — one of Chambers’ top honors — was given. We are constantly challenging the status quo and looking for ways to improve client satisfaction.

Stikeman Elliott LLP445 Park Avenue, 7th FloorNew York, NY 10022Kenneth G. Ottenbreit212-845-7460kottenbreit@stikeman.comwww.stikeman.com

Stikeman Elliott is a leading Canadian law firm recognized internationally for the sophistication of its business law practice and frequently ranks as a leader in Canadian and international capital markets, M&A and corporate-commercial law by industry league tables and directories. The firm has developed in-depth knowledge of a wide range of industries including energy, mining, securities, banking, financial services, insurance, infrastructure, retail, telecommunications and technology. Located in Toronto, Montréal, Ottawa, Calgary and Vancouver, its Canadian offices are among the leading practices in their respective jurisdictions. Stikeman Elliott is also prominent internationally, with a longstanding presence in New York, London and Sydney.

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ACA Compliance Group2120 L Street, NW, Suite 530Washington, DC 20037Dee Stafford561-988-3310dstafford@acacompliancegroup.comwww.acacompliancegroup.com

ACA Compliance Group (ACA) is a full-service compliance consulting firm that is committed to offering unparalleled regulatory compliance and GIPS verification services designed to satisfy the needs of broker-dealers, investment advisers, private funds and investment companies. Since its inception in 2002, ACA has developed and continues to maintain a reputation for high quality, unquestionable integrity, and unmatched dedication to its clients. The ACA consulting team is comprised of former SEC, FINRA, NYSE and state regulators as well as in-house counsel and senior compliance managers from a number of prominent financial institutions. With services and fees scalable to meet particular needs, ACA offers its clients unique opportunities to achieve improved levels of confidence and competence in their compliance programs - key factors for success in today’s increasingly challenging business and regulatory environments. Please call Dee Stafford for a no-obligation consultation.

Complinet1250 Broadway Suite 1902New York, NY 10001Client Services646-289-6270clientsupport@complinet.comwww.complinet.com

Complinet is the leading online provider of connected risk and compliance solutions to the global financial services community. Complinet was founded in 1997 and employs more than 200 people in its offices in New York, London, Sydney, Melbourne, Singapore and Dubai. Every day, industry professionals in more than 1,800 firms across 81 countries rely on Complinet as their information partner for ongoing analysis and solutions that help them keep pace with changing regulations, establish a culture of compliance within their firm and mitigate risk. At Complinet we understand how challenging it is to deliver proactive compliance at your firm while saving money and maximizing efficiency. With tighter budget controls and increased pressure to show value, it’s harder to keep ahead of regulatory change and devise a practical approach that satisfies regulators, senior management and the business lines in equal measure.Whether you need to: Manage policies more efficiently by connecting them to live regulations to ensure automatic notification; Track regulatory developments comprehensively to avoid resource-draining spreadsheets that are not fit for purpose; Keep up-to-date with regulatory buzz; Receive practice and rule interpretation without scouring the web and using many costly providers; Screen clients to manage your AML and KYC obligations; or Create the right compliance culture with the most relevant e-learning courses from the market leader….Complinet is one of the most trusted, quality names in compliance and offers tailored packages to suit your business requirements.

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JordanLawrence14567 North Outer 40 Drive Suite 300St. Louis, MO 63017Kathie Dingley636-821-2232kdingley@jordanlawrence.comwww.jordanlawrence.com

Jordan Lawrence is a technology and consulting company with over 20 years of experience working in the financial services and securities industries. Our solutions enable legal and compliance teams to leverage industry best practices, benchmarking standards and our unique domain knowledge to solve key records management challenges. Litigation Hold Management: For legal professionals seeking to establish a defensible and efficient process to manage litigation holds and minimize the risk of sanctions. GRIPTM Hold Management quickly and easily institutes a hold, accurately identifies likely custodians, and provides complete documentation of the process. Protecting Sensitive Information: For compliance and legal professionals who need to identify and assess where sensitive information is vulnerable to threats and ensure ongoing compliance with ever changing privacy laws. GRIPTM Sensitive Information identifies information that is at risk and creates and maintains detailed maps of sensitive information, in all media, across the organization. GRIPTM Sensitive Information provides a sensible process to manage and dispose of sensitive information in accordance with your policy. Reducing Discovery Cost and Risk: For legal professionals that need a realistic way to reduce the costs and mitigate the risks of discovery and review. GRIPTM Records Analytics creates and maintains detailed Discovery datamaps of where records exist across the organization. With this information, counsel can manage the collection process with greater accuracy and confidence. GRIPTM Records Analytics enables counsel to develop and apply practical retention schedules that dramatically reduce the amount of discoverable information.

Patrina Corporation2 Wall StreetNew York, NY 10005Patrick Molluso212-233-1155pmolluso@patrina.comwww.patrina.com

Patrina Corporation is a leading global provider of enterprise data management, archival and storage solutions. Our hosted archiving and data management solutions help clients streamline the growing volumes of electronic records within a highly secure, SAS70 Type II, mirrored data-centers. Patrina’s “active” philosophy with information management helps organizations worldwide to meet compliance requirements, manage the growth of structured and unstructured data and improve the operational efficiency of their corporate records. The active archiving of enterprise wide data enables better corporate governance and regulatory compliance, improves business performance and agility and helps you, our client, Profit From Your Data. Patrina’s hosted solutions can help you to effectively reduce operational costs, minimizing the overhead and risks associated with managing your company’s information assets and drive higher levels of business performance by ensuring your data is available, accurate, complete, unalterable and secure. Patrina Solutions include: 24/7 Access to Patrina proprietary VPN via Internet , Secure and Private Capture Solutions for Electronic and Paper record, Full text and Attachment Indexing for Hot and Cold Archiving, Online and Unalterable (WORM) Storage Solutions, Data Protection and Disaster Recovery Solutions, E-Discovery Archiving and Retrieval, E-Communication Solutions for Email/IM/Bloomberg, Compliant Records Management and Auditing Solutions.

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QUMAS66 York Street Jersey City, NJ 07302 Julie Aherne 800-577-1545 jaherne@qumas.com www.qumas.com

QUMAS is a global leader in Enterprise Compliance Solutions with more than 250 global customer deployments, including top financials services providers, as well as 7 of the top 10 Pharmaceuticals, and 4 of the top 10 Biotechnology companies. Headquartered in Cork, Ireland, QUMAS also has offices across the US and Europe, and has over 15 years of experience working with companies in highly regulated industries. QUMAS is consistently ranked as a leader in its space by top analyst firms such as Forrester, Gartner, and AMR Research. In 2007, QUMAS was named as a Visionary in the GRC Magic Quadrant by Gartner. In 2008, the QUMAS Partnership with Paisley Thomson Reuters was named ‘Collaboration of the Year’ by the Irish Software Association. QUMAS CEO Kevin O’Leary was nominated for the Ernst and Young Entrepreneur of the Year 2009 Award. For more information, go to www.qumas.com.

RenaissanceRegulatoryServices,Inc.350 Camino Gardens Blvd. Ste 105Boca Raton, FL 33432Barbara Simmons404-370-9655barbarasimmons@rrscompliance.comwww.rrscompliance.com

The Renaissance Regulatory Services team consists of former regulators and industry professionals who provide the insight and expertise to help your firm keep up with rapid changes in your business, regulations, and the industry. RRS provides regulatory compliance examinations, compliance program development, business planning, registration services, financial reporting & bookkeeping, compliance administration, and a broad range of related services. RRS designs customized services to meet virtually every compliance need, from initial startup through ongoing operations to expansion and mergers. Compliance Examination & Testing: RRS suite of examination services for broker-dealers and investment advisers, built on our staff’s years of regulatory experience conducting examinations, include compliance examinations, supervisory controls testing, AML program testing and RIA compliance program testing. Compliance Program, Policy & Procedure Development: BDs and RIAs can leverage our extensive industry experience in drafting and implementing customized written supervisory and compliance procedures, supervisory controls, and compliance programs. Business Planning & Registration Services: If you are considering starting your own BD or RIA, or expanding your current business, RRS’ professionals provide practical guidance to help you meet your objectives and the requirements of regulators. Financial Reporting & Bookkeeping: RRS provides a full range of bookkeeping and FOCUS filing services for BDs. Bookkeeping services are also available to investment advisers and other small businesses. Compliance

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EXHIBITORS

Support Services: Strengthen your compliance program without adding additional staff by utilizing RRS’ customized compliance support services. These services combine one or more of our suite of services to support your compliance program in a cost effective manner.

Smarsh, Inc 921 SW Washington St. Ste 540 Portland, OR 97205 Jessica Heath 503-946-5970 jheath@smarsh.com www.smarsh.com

Smarsh is the managed service leader in secure, innovative and reliable email archiving solutions for compliance and records retention, proactive litigation readiness and mail server data management. Smarsh’s proprietary archiving service features robust and sophisticated message preservation, classification and protection capabilities designed with comprehensive, efficient and compliant supervision in mind. Smarsh also offers an integrated suite of hosted technology solutions for message archiving (instant messaging, Bloomberg, social media), email encryption and data-leak prevention, customer relationship management and compliant website design and hosting. The Software-as-a-Service (SaaS) delivery model enables clients to eliminate IT infrastructure costs and minimize operating burden, while benefiting from Smarsh’s expertise and experience in hosting large volumes of mission-critical client data. Founded in 2001, Smarsh has built its trusted reputation by handling the sophisticated archiving and compliance needs of the financial services industry. Customizable solutions fit the needs, budgets and technological infrastructure of any business and are matched with

Smarsh’s unrivaled customer support and service. Smarsh’s growth has been recognized at both the local and national level. In 2008 and 2009, the company was named to the “Inc. 500”, Inc. magazine’s annual analysis of the fastest-growing companies in the United States. Deloitte honored Smarsh with a spot on its Technology Fast 500 list for 2009 and the Portland Business Journal ranked Smarsh No. 1 in its 2009 growth rankings for the state of Oregon.

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