Washington DC Compliance
Join us for a virtual meeting with
Marta Rodgers Fischl, Esq.
United States Securities and Exchange Commission- Chicago Regional Office IA/IC
25 March 2021
04:30 pm est
Marta will provide an overview of the Division of Examination’s National Examination Program including the Selection Process, Priorities, and Best Practices when encountering SEC examinations.
Marta Rodgers Fischl is an Attorney-Adviser in the Division of Examinations Chicago Regional Office’s IA/IC Group, which specializes in Investment Adviser and Investment Company Examinations. She has been with the SEC since 2016. Prior to joining the SEC, Marta worked as a Senior Investigator in the Market Regulation Department of CME Group and practiced securities litigation in the private sector.
The Washington DC Compliance Round Table is a trade association organized primarily for the purposes of promoting the following common business interests:
To educate compliance professionals in the financial and securities industries; and
To facilitate networking opportunities for compliance professionals in the financial and securities industries.
The Washington DC Compliance Round Table is a nonprofit organization under Section 501(c)(6) of the Internal Revenue Code of 1986.
For membership information please use Contact form