Next year’s Finance Law Institute will be held in Washington, DC.
Please check back in spring 2020 for more information on attending.
2019 Finance Law Institute Program and Schedule:
The 2019 Finance Law Institute was held in Philadelphia on August 9 as part of the National LGBT Bar Association’s Annual Lavender Law® Conference & Career Fair. The Institute is a space for the leading legal minds involved with finance law, as it pertains to the LGBTQ+ community, to share ideas and network.
The Institute hosts experienced practitioners, new practitioners, law students, and academics focusing on financial legal issues affecting the LGBTQ+ community. Participants share their collective wisdom and discuss cutting-edge legal strategies. To create an environment that encourages the free flow of information, registration was limited. The meeting was closed and the proceedings were not recorded.
Lavender Law: Finance Law Institute: Agenda (8:30 – 12:30 on Friday, August 9th)
Finance Law Institute Co-Chairs: Fitzann Reid, Senior Attorney, SEC and Daniel Winterfeldt, Global Capital Markets Partner, Reed Smith; Founder, Forum for US Securities Lawyers in London
Networking & Welcome 8:30 am to 8:45 am
SEC Keynote with Q&A 8:45 am to 9:00 am
Keynote Speaker: Lori Schock, Director, Office of Investor Education and Advocacy, SEC
Capital Markets Panel 9:15 am to 10:15 am
Panelists: Daniel Winterfeldt, Global Capital Markets Partner, Reed Smith and Founder and Co-Chair, Forum for US Securities Lawyers in London (Chair); Edward Bibko, General Counsel for EMEA and Asia, Jeffries
SEC Panel 10:15 am to 11:15 am
Panelists: Fitzann Reid, Senior Attorney, SEC; L. James Lyman, Senior Attorney, Division of Enforcement at the United States Securities and Exchange Commission; Glenn Gordon, Associate Regional Director, Division of Enforcement, Miami Regional Office, SEC; Jorge G. Tenreiro, Senior Trial Counsel, Division of Enforcement of the SEC, New York Regional Office.
Ally Keynote with Q&A 11:15 am – 11:30 am
Keynote Speaker: Edward Bibko, General Counsel for EMEA and Asia, Jeffries
Derivatives Panel 11:30 am to 12:30 pm
Panelists: Greg Todd, Managing Director & Associate General Counsel, Bank of America Merrill Lynch (Chair); Waqaas Fahmawi, Director & Assistant General Counsel, Bank of America Merrill Lynch; Trish O’Donnell, Counsel, Reed Smith; Darshini Reddivari, Vice President & Legal Counsel, T. Rowe Price; Tom Salatte, Managing Director, Nomura
2019 Finance Law Institute CLE Materials
- Capital Markets 2019 Outlook (SIFMA)
- FAST Act Modernization and Simplification of Regulation S-K (SEC) (March 2019)
- SEC Adopts Amendments to Streamline Disclosure Requirements (Sidley) (September 2018)
- Lorenzo v. SEC (Supreme Court Ruling) (March 2019)
- Lorenzo v. SEC: Expanded Scope of Securities Fraud Liability (Harvard Law Schoo Forum on Corporate Governance and Financial Regulation) (April 2019)
- Lorenzo v. SEC: Supreme Court Affirms Lorenzo v. SEC, Expanding the Scope of Primary Liability for Securities Fraud (Lexology) (April 2019)
- SEC Increases Enforcement Activity in 2018, Shifting Focus to Offering Frauds and Investment Advisers (Covington) (November 2018)
- Annual Report 2018 (SEC Division of Enforcement) (November 2018)
- SEC Enforcement Priorities for 2019 (Compliance Week) (December 2018)
- Top 10 Topics for Directors in 2019: SEC Regulation and Enforcement (Akin Gump) (March 2019)
- Examination Priorities 2019 (SEC Office of Compliance Inspections and Examinations) (2019)
- Insights from PLI’s SEC Speaks 2019 (Miller Canfield) (April 2019)
- Highlights from the SEC Speaks 2019: Litigation and Enforcement Trends (April 2019)
- Forum for US Securities Lawyers in London: March 2019 US Securities Law Digest
- Forum for US Securities Lawyers in London: October 2018 US Securities Law Digest