PITTSBURGH, PA – On Friday, October 21, Leech Tishman Partner Steven D. Irwin moderated the regulatory panel for the 2016 Ohio Securities Conference in Columbus, Ohio. The Conference was convened by the Ohio Department of Commerce and the University of Toledo College of Law and attracted a record number of registrants.
Panel members included Andrea Seidt, Commissioner, Ohio Division of Securities; Joseph Brady, Executive Director, North American Securities Administrators Association (“NASAA”); Laura Trotz, Associate District Director, the Financial Industry Regulatory Agency (“FINRA”); and David Glockner, Regional Director, U.S. Securities and Exchange Commission (“SEC”).
Topics included NASAA 2016 Enforcement Report findings; cybersecurity; FINRA broker dealer compliance reviews; 2017 SEC amendments to the Investment Adviser Act; crowdfunding; expungement; and proposed amendments to the Dodd-Frank reforms.
“The Conference provided a detailed, comprehensive review of regulatory and legislative developments during the past year,” stated Steve Irwin, Partner at Leech Tishman and former president-elect of NASAA. “It gave securities lawyers, compliance officers, advisors and brokers the invaluable opportunity to hear from their regulators and gain insight into key public policy issues facing investors and the investment industry.”
“It was a privilege to moderate the Friday morning panel and facilitate such a lively discussion,” continued Steve. “By assembling panelists who are highly regarded nationally for their experience and expertise in this field, we were able to cover much important ground.”
Other topics at the 2016 Ohio Securities Conference included a lively debate on the U.S. Department of Labor’s Fiduciary Rule; legal consideration of the complex products that have come into the securities market; the Division of Securities annual Advisory Committee regulatory update; and keynote speaker Douglas Squires, assistant U.S. attorney for the Southern District of Ohio, who shared examples of how his office has litigated public corruption and federal securities cases.
ABOUT STEVE IRWIN
Steven D. Irwin is a Partner with Leech Tishman and a member of the Employment, Governmental Relations, and Litigation Practice Groups. Formerly Pennsylvania Commissioner of Banking and Securities, Steve focuses his practice on regulatory and employment matters in the financial services sector. He is based in Leech Tishman’s Pittsburgh office, where he routinely interacts with government bodies and counsels high-level management, defending against or asserting allegations of fraudulent conduct.
ABOUT LEECH TISHMAN
Leech Tishman Fuscaldo & Lampl is a full-service law firm dedicated to assisting individuals, businesses, and institutions. Leech Tishman offers legal services in alternative dispute resolution, bankruptcy & creditors’ rights, construction, corporate, employee benefits, employment, energy, environmental health & safety, estates & trusts, family law, government relations, immigration, insurance coverage & corporate risk mitigation, intellectual property, internal investigations, international legal matters, litigation, real estate, and taxation. Headquartered in Pittsburgh, PA, Leech Tishman also has offices in Chicago, Los Angeles, New York and Wilmington, DE. For more information call 412.261.1600 or visit us at www.leechtishman.com.