Topic: Securities & Capital Markets

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Banking, Derivatives, Public Policy & Advocacy, Securities & Capital Markets

The Financial Crisis of 2007-2009 Causes and Contributing Circumstances

January 12, 2010 | American Bar Association

Contributing author of the report prepared by the ABA Business Law Section Banking Law Committee (BLC) Task Force on the Causes of the Financial Crisis. This BLC Task Force was formed as a subgroup of the Task Force on Financial Regulatory Restructuring, which was appointed by the BLC to analyze financial regulatory and systemic issues that may have caused and contributed to the 2007-2009 financial crisis.

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Public Policy & Advocacy, Securities & Capital Markets

Proposed Amendments to Rule 15a-6: Exemption of Certain Foreign Brokers or Dealers

2008 | Practicing Law Institute (PLI)

Diana and Marlon Paz gave a PLI telephone briefing about the SEC’s proposed amendments to Securities Exchange Act Rule 15a-6. The rule provides a conditional exemption from broker-dealer regulation for certain limited activities of foreign broker-dealers conducting transactions with U.S. customers. The SEC adopted Rule 15a-6 in 1989 and the proposed amendments were intended to reflect increasing securities market internationalization and changes in technology and communication.

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Securities & Capital Markets

Essential Requirements of an Effective Broker-Dealer Internal Audit Examination

September 2000 | National Regulatory Services (NRS)

Drawing on her experience as outside counsel advising on broker-dealer and investment adviser regulation and as an SEC examiner, Diana gave a presentation about what to expect during an exam and guidance on how to effectively audit compliance procedures. Her remarks were made at the NRS Investment Adviser and Broker-Dealer Compliance Conference.

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