Washington DC Compliance
Round Table
Events
Web Event:
Join us for a virtual meeting with
Marta Rodgers Fischl, Esq.
Attorney-Adviser
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.
About WDCCRT
The Washington DC Compliance Round Table is a trade association organized primarily for the purposes of promoting the following common business interests:
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To educate compliance professionals in the financial and securities industries; and
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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
Sponsors
Past Events
April 16, 2020
Key interplays between State and Federal Securities laws; State Securities Administrators' work with Federal regulators and Self-Regulatory organizations
Speaker: Vince Martinez, General Counsel of the North American Securities Administrators Association (NASAA)
January 23, 2020
CFTC Adopts Rules Streamlining the Regulations for Commodity Pool Operators and Commodity Trading Advisors
Speaker: Amanda Olearr, Acting Deputy Director, CFTC
September 12, 2019
CFTC Enforcement Update: Developments & Trends
Speaker: Rick Glaser, Deputy Director in the Division of Enforcement of the CFTC
May 09, 2019
SEC Senior Investors Regulatory Overview
Speaker: Stephen Deane CFA Engagement Advisor, Office of the Investor Advocate, SEC
March 07, 2019
FINRA 2019 Regulatory Priorities
Speaker: Steven Polansky Senior Director, Office of Shared Services, FINRA
January 17, 2019
FBI and Cyber Security
Speaker: Matthew J. DeSarno, Special Agent in Charge, FBI
September 06, 2018
SEC Enforcement Trends in Tips Complaints and Referrals (TCR)
Speaker: Jennifer M. Carr, Attorney, SEC Division of Enforcement
April 26, 2018
Consolidated Audit Trail Discussion
Speaker: Elizabeth King, General Counsel, NYSE
January 18, 2018
Regulatory Priorities 2018
Speaker: Dan Driscoll, Executive Vice President and Chief Compliance Officer at National Futures Association (NFA)