As part of the conference, representatives from the SEC and NASAA will divide into working groups in the areas of corporate finance, broker-dealer regulation, investment management, investor education, and enforcement. Each group will discuss methods to enhance cooperation in its subject area and improve the efficiency and effectiveness of federal and state securities regulation. To encourage open and frank discussion, only SEC and NASAA representatives and certain other securities regulators may attend the conference. The SEC plans to publish a report of the proceedings.
FTSE Mondo Visione Exchanges Index:
SEC, NASAA To Co-Sponsor Conference On Federal-State Securities Regulation
Date 05/04/2004