Event Date/Time: Feb 06, 2006 End Date/Time: Feb 06, 2006
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Recent actions by the SEC against in-house counsel have raised the stakes in giving securities law advice to clients. This seminar will address the ethical rules applicable to securities lawyers when they give advice to their clients, including the SEC's Standards for Attorney Conduct, the New York Code of Professional Responsibility and ABA Model Rules of Professional Conduct, pronouncements by SEC General Counsel Giovanni Prezioso and actions taken by the SEC against in-house counsel.

New York CLE Credit Available
2 Ethics Credits under New York CLE


360 Madison Avenue (Entrance on 45th Street), 17th Floor
New York
United States

Additional Information

Registration Information Registration Fees: Members: $395 Non-Members: $595 TBMA's Financial Hardship Policy: Discounts to attend TMBA programs are available to employees of regulators of the fixed-income industry, including government agencies and self-regulatory organizations, as well as to not-for-profit organizations. To apply, indicate your employment in the application form. A discount from the full registration fee is also available for attorneys with annual gross income under $45,000 per annum. This discount will usually be one-third of the full registration fee, but may be increased for particular programs depending on their intended audience. To apply, send your request with supporting materials, along with the completed registration form, to TBMA's Conference Department. Refund Policy: The Association will issue refunds, each subject to a $75 service charge, on cancellations received in writing on or before Monday, January 30, 2006. No refunds will be issued on cancellations after this date. Substitutes are welcome at any time.