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:

 

  • 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

 
 

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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)

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Contact

 

Meeting Location:

1050 Connecticut Ave NW, Ste 1070

Washington, D.C. 20036

Mailing Address:

11654 Plaza America Drive, Ste 260

Reston, VA 20190

Phone 703.988.6858

© 2020 by WDCCRT.ORG