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By Nyasha Foy
Posted on 4/3/08
NEW YORK -- The state’s senior security and law enforcer Michael Balboni will address financial professionals at FAE’s upcoming Broker/Dealer Conference on May 14.
Balboni, the New York State Office Homeland Security’s deputy secretary for public safety, will be one of several conference speakers who will provide regulatory updates for CPAs and professionals in the securities industry, as well as regulatory agency representatives.
“It’s the only place an accountant can get a relevant update in the broker/dealer industry,” said Conference Chair Jeffrey I. Rosenthal, a partner at Anchin, Block & Anchin LLP.
This year’s Broker/Dealer Conference will take place at the New York Marriott Marquis Times Square.
CPAs in attendance can decide if hindsight is really 20/20 when Jeff Lebenthal, cofounder of Lebenthal & Co., presents a brokerage industry retrospective in his luncheon address.
“[Lebenthal] has many years experience in the industry and has seen many markets,” Rosenthal said. “He’s had the opportunity to observe many changes in the industry and has tremendous perspective.”
Other topics to be addressed in the morning session include the impact of the credit crisis on fair value measurement; U.S. general accepted accounting principles (GAAP) / Financial Accounting Standards Board (FASB) fair value issues; and a legal perspective on regulatory & reporting issues.
Afternoon sessions include:
Pink Sheets and the OTC equity markets
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Michael T. Dorsey, Esq., Managing Director, Head of Trading Services and Compliance, Pink Sheets
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John C. Kallop, Managing Director, Head of Finance & Administration, Pink Sheets
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Moderator: Gary Purwin, Partner, Pustorino & Puglisi LLP
Capital Committee of SIFMA (formerly FMD) Initiatives
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Marshall J. Levinson, Senior Managing Director, Bear, Stearns & Co.
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Moderator: Ronald Carletta, Branch Chief, Eastern Region, CFTC
Current and Hot Button Issues
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Marc H. Stoltz, Managing Director, JRS Financial Services, LLC
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Gary R. Purwin, CPA, Audit Partner, Pustorino, Puglisi & Co.
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Moderator: Charles J. Pagano, Partner, Weiser LLP
Operations and Clearing Update
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George (Tres) Arnett III, Director and Counsel, Pershing LLC, an affiliate of The Bank of New York Mellon Corporation
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Ricardo Martinez, Senior Manager, Deloitte & Touche, LLP
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Moderators: Jeffrey Abramczyk, CPA, Director & Senior Compliance Officer, Pershing LLC; Martin Racek, Senior Manager, Deloitte & Touche, LLP
Regulators’ Panel
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Susan DeMando, Associate Vice President and Director, Financial Operations Department, FINRA
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Kris Dailey, Managing Director of the Oversight & Operational Regulation Division, FINRA
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Michael A. Macciaroli, Associate Director, Office of Risk Management & Control, Division of Trading and Markets, Securities and Exchange Commission
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Grace B. Vogel, Executive Vice President, Member Regulation, FINRA
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Moderator: Paul Ehrenstein, Principal, Paul Ehrenstein Associates
Click here to register, or call 1 (800) 537-3635.
