| Wednesday, March 10, 2021 |
Investment management partner Christine Lombardo will speak on a panel titled “New SEC Marketing Rules for Dual-Registrants” hosted by SIFMA and the SIFMA C&L Society. The panelists will discuss how firms that are both broker-deals and registered investment advisers are navigating the challenges of the new SEC Marketing Rules. SIFMA’s C&L Society is the leading forum for compliance and legal professionals working in the financial services.