Events
Duane Morris Partner Marvin Pickholz to Speak on SEC Panel on "Roundtable on the Execution, Clearance, and Settlement of Microcap Securities"
October 17, 2011 | Washington, D.C.
| SEC Headquarters
Duane Morris partner Marvin G. Pickholz will be participating as a panelist at the "Roundtable on the Execution, Clearance, and Settlement of Microcap Securities," to be held at the SEC's Washington D.C. headquarters on Monday, October 17. The event will take place from 1 p.m. to 5 p.m.
The roundtable is being sponsored by the SEC’s Microcap Fraud Working Group, a joint initiative of the Division of Enforcement and Office of Compliance Inspections and Examinations. The Working Group is the Commission’s primary resource for issues relating to market participants and trading practices concerning securities primarily quoted on the OTC Bulletin Board (OTCBB) or OTC Quote (previously Pink Sheets). It will feature in-depth discussions of key regulatory issues including Anti-Money Laundering monitoring, compliance challenges, and potential changes to the regulatory framework. Panelists will include representatives from The Deposit Trust Company, broker-dealers, the Financial Industry Regulatory Authority and others. The roundtable is part of an ongoing SEC effort to focus on the particular challenges facing issuers and regulated entities within the changing business and regulatory climates.
The event is open to the public on a first-come, first-served basis, and will also be webcast live on the SEC website. For more information about the event, please contact the Division of Enforcement at 202.551.6607.
