Broker/Dealer The Securities Industry in 2011 and Beyond Wednesday, May 11, 2011 New York Marriott Marquis at Times Square 1535 Broadway, at 45th Street New York, NY 10036 8:00 a.m. 5:00 p.m. Hear Keynote Speaker Robert Brusca, PhD, Give an Economic Update C o n f e r e n c e Now Available Conference Highlights: via Live Webcast see inside for details FINOP and Regulatory Matters Regulatory Panel Red Flags and the Broker/Dealer International Accounting Standards and the Broker/Dealer Legal and Regulatory Update Tax and Audit Update Custody Exams And much more! foundation for accounting FAEeducation
Broker/Dealer C o n f e r e n c e The Securities Industry in 2011 and Beyond Wednesday, May 11, 2011 New York Marriott Marquis at Times Square 1535 Broadway, at 45th Street New York, NY 10036 8:00 a.m. 5:00 p.m. (Check-in begins at 7:30 a.m.) Designed for: CPAs in public practice, financial principals in the securities industry, and representatives of regulatory agencies. Objectives: To provide participants with an update on current matters affecting the securities industry, including accounting, auditing, and tax, plus the latest developments in legal, compliance, and regulatory issues affecting broker/dealers. PROGRAM DETAILS Time: 8:00 a.m. 5:00 p.m. (Check-in begins at 7:30 a.m.) Sponsoring Committee: Stock Brokerage Committee, NYSSCPA Sponsoring Committee and Conference Chair: David H. Grumer, CPA, Partner, Citrin Cooperman Course Level: Update Prerequisite: Knowledge of the Securities Industry Method of Presentation: Lecture, Panel Discussion, and Question-and-Answer Session Field of Study: Specialized Knowledge and Applications Recommended CPE Credit Hours: 8 Developer: Foundation for Accounting Education Course Code: 25558111 (In-Person); 35558111 (Live Webcast) Product ID: 20437 (In-Person); 20487 (Live Webcast) Member Fee: $385 (In-Person); $285 (Live Webcast) Nonmember Fee: $485 (In-Person); $385 (Live Webcast) CONFERENCE PROGRAM 7:30 a.m. Check-in, Continental Breakfast, Networking 8:00 8:10 a.m. Opening Remarks Committee Chair: David H. Grumer, CPA, Partner, Citrin Cooperman 8:10 9:00 a.m. 2011 Economic and Market Update Moderator: Jeffrey Abramczyk, CPA, Director, Pershing LLC Robert Brusca, PhD, Economist Hear from an independent voice on the economy, global trends, and the political scene. 9:00 10:00 a.m. International Accounting Standards and the Broker/Dealer Moderator: Martin Racek, CPA, Senior Manager, Deloitte & Touche Sondra Tarshis, Director, Mazars LLP Sherif Sakr, CPA, Partner, Enterprise Risk Services Practice, Deloitte & Touche International accounting standards are coming: Will you be prepared? 10:00 10:20 a.m. Break 10:20 11:10 a.m. FINOP and Regulatory Matters Moderator: Mark Levy, CPA, Director, McGladrey & Pullen, LLP Gary R. Purwin, CPA, Partner, Pustorino, Puglisi & Co., LLP
Marc H. Stoltz, CPA, Managing Director, JRS Financial Services, LLC Michael E. Stupay, CPA, Cofounder, Managing Member, Integrated Investment Solutions LLC Receive an update on financial and operational matters. 11:10 a.m. 12:00 p.m. Legal and Regulatory Update Moderator: John Cavallone, CPA, Principal, Rothstein Kass Mitchell C. Littman, Esq., Founding Partner, Littman Krooks LLP Barry M. Bordetsky, Esq., Principal, The Law Offices of Barry M. Bordetsky What do you do when a claim is presented? Learn how approximately an hour s work can provide the broker/dealer and its defense team with the necessary information to provide a strong defense of the claims right out of the gate. 12:00 1:00 p.m. Lunch 1:00 2:00 p.m. Red Flags and the Broker/Dealer Moderator: Charles J. Pagano, CPA, Partner, WeiserMazars LLP Patrick J. Carroll, Coordinating Supervisory Special Agent for White Collar Crime, Federal Bureau of Investigation Stephen C. Strombelline, Managing Director, Head of Ethics and Compliance, BNP Paribas Should you have spotted that warning sign? Could you have? 2:00 2:50 p.m. Tax and Audit Update Moderator: Jeffrey I. Rosenthal, CPA, CFP, Partner-in-Charge, Anchin, Block & Anchin LLP E. George Teixeira, CPA, Tax Partner, Anchin, Block & Anchin LLP Moderator: Marshall J. Levinson, CPA, Accounting Fellow, Securities and Exchange Commission Martin F. Baumann, CPA, Chief Auditor and Director of Professional Standards, PCAOB Get an update on tax matters and current thoughts on audits from the experts. 2:50 3:10 p.m. Break 3:10 4:00 p.m. Custody Exams Moderator: Robert Kaufmann, CPA, Partner, Citrin Cooperman Joseph D. Zarkowski, CPA, Principal, Rothstein Kass Learn what you need to know about custody exams. 4:00 4:50 p.m. Regulatory Panel Moderator: Paul S. Ehrenstein, CPA, Principal, Paul Ehrenstein Associates, Inc. Ronald A. Carletta, Division of Clearing and Intermediary Oversight, Commodity Futures Trading Commission Kris Dailey, Vice President, Risk Oversight & Operational Regulation Division, FINRA Michael A. Macchiaroli, Esq., Associate Director, Office of Risk Management & Control, Division of Trading and Markets, Securities and Exchange Commission Grace B. Vogel, Executive Vice President, Member Regulation, FINRA Gain insights from key regulators, in light of current events. 4:50 5:00 p.m. Closing Remarks Incoming Committee Chair: Gary R. Purwin, CPA, Partner, Pustorino, Puglisi & Co., LLP
ABOUT THE COMMITTEE AND CONFERENCE CHAIR David H. Grumer, CPA, is a Partner with Citrin Cooperman. He is responsible for providing audit, tax, and consulting services to financial services organizations. He is also involved in the publications of the firm, represents the company in conferences and other forums, and is a contributor to publications outside the firm as well. In addition, he is a seminar instructor at the firm and participates in training sessions at the NYSSCPA. ABOUT THE SPEAKERS Jeffrey Abramczyk, CPA, is a Director at Pershing LLC, a BNY Mellon company, in the Compliance department. He is responsible for regulatory compliance. In 2005 he established Pershing s compliance testing and verification program which responds to FINRA rules and BNY Mellon requirements. He has over 20 years of financial services industry experience and significant expertise in broker/dealers, registered investment advisors, hedge funds, and depositories, coupled with extensive capital markets experience. Martin F. Baumann, CPA, is the PCAOB Chief Auditor and Director of Professional Standards. He joined the PCAOB in 2006 and served as Director of the Office of Research and Analysis from 2007 to 2009, before becoming Chief Auditor. Previously, he spent three years as Executive Vice President of Finance and Chief Financial Officer for Freddie Mac, where he was responsible for accounting and reporting, corporate planning, taxation, and capital management. He led the effort to complete Freddie Mac s restatement and improve its financial reporting. Earlier, he spent 33 years at PricewaterhouseCoopers LLP, in positions spanning Partner, Deputy Chairman of the World Financial Services practice, and Global Banking Leader. He earned a BA in Accounting from Queens College (CUNY), an MBA in Finance from Baruch College (CUNY), and completed Columbia Business School s Executive MBA Program. Barry M. Bordetsky, JD, has represented individuals, publicly and privately held corporations, as well as brokerage firms and registered representatives in various courts and arbitration forums throughout the country. He also practices before FINRA and the American Arbitration Association (AAA). He represents broker/dealer clients in several ways, including with customer and employment arbitrations, regulatory inquiries, raiding cases, breach-ofcontract matters, and more. He received his BA, cum laude, from Northeastern University in Boston, Mass., and his JD from Brooklyn Law School in Brooklyn, N.Y. Robert Brusca, PhD, has been an Economist on Wall Street since 1977. He has been a Division Chief at the Federal Reserve Bank of New York, a Fed-watcher at a major New York commercial bank, and Chief Economist at a major international securities firm. He is now an independent voice on the economy, global trends, and the political scene, operating a consulting firm in New York City. Ronald A. Carletta, CPA, has been with the Division of Clearing and Intermediary Oversight at the U.S. Commodity Futures Trading Commission (CFTC) since 1991 and is currently the Branch Chief of the Eastern Region Audit and Financial Review Branch. His current responsibilities include reviewing self-regulatory organizations and clearing organizations compliance with CFTC core principles; financial reports; ensuring compliance with the Commission s financial responsibility rules for futures commission merchants, commodity pools, and commodity trading advisors; and assisting in the development of regulations, staff interpretations, and advisories for futures commission merchants, commodity pools and commodity trading advisors. He is a member of the AICPA and participates on its Stockbrokerage and Investment Banking Expert Panel. Patrick J. Carroll is the Coordinating Supervisory Special Agent (CSSA) for White Collar Crime (WCC) in the New York office of the FBI, and assists the WCC Assistant Special Agent in Charge in supporting the needs and operations of the Financial Crimes Squad to indentify, disrupt, and dismantle criminals and criminal enterprises. He has supervised multi-million-dollar federal fraud investigations, including Ponzi schemes, market manipulations, insider trading, advanced fee schemes, accounting fraud, money laundering, and foreign currency (Forex) frauds. He is the Securities Fraud Coordinator for the New York Office of the FBI, with knowledge of federal securities, banking, and money laundering provisions, including those under the Patriot Act and the Sarbanes-Oxley Act. He is a member of and speaker at the FINRA Roundtable and the United States/Canadian cross-border initiative on securities fraud, and is one of three Cochairpersons to the FBI Director s Advisory Committee. John Cavallone, CPA, is the Principal in Charge of Rothstein Kass national Broker Dealer Group. He provides audit and accounting, business consulting, tax, and financial consulting for a diversified group of clients in both the private and public sectors, including broker/dealers, investment partnerships and business services. He is a member of the AICPA and the NYSSCPA, where he is the past Chair of the Stock Brokerage Committee. Kris Dailey is Vice President in the Risk Oversight & Operational Regulation Division of FINRA. She was previously a Managing Director within Member Firm Regulation at NYSE Regulation, Inc., from 1988 until its merger with the NASD in 2007. At NYSE Regulation, she held various positions within the examination and financial surveillance departments of Member Firm Regulation, where she spent 17 years conducting and supervising examinations and monitoring the financial and operational condition of member firms. In 2005, she assumed her current role as Managing Director of Regulatory Development and Services, and is currently responsible for Broker/Dealer Operational & Financial Responsibility Standards, Legal and Capital Reviews, Financial/Operational Examination Development and Automation Initiatives, and New Member Applications. She holds a BS in Finance from St. John s University and an MBA from Fordham University.
Paul S. Ehrenstein, CPA, is a Principal of Paul Ehrenstein Associates, Inc., a firm specializing in maintaining the books and records for many securities broker/dealers. He serves as the Financial and Operations Principal, Registered Options Principal, Municipal Principal, Chief Compliance Officer, and/or General Securities Principal for a number of securities firms. He holds a BA in Economics and Accounting from Fairleigh Dickinson University. Robert Kaufmann, CPA, is a Partner in the Financial Industry Group of Citrin Cooperman. He was formerly Managing Partner of Kaufmann, Gallucci & Grumer LLP, and has also worked for PricewaterhouseCoopers LLP. His accounting and auditing experience includes FINRA and NYSE broker/dealers; hedge funds and investment partnerships; and financial services companies, both domestic and foreign. He is a member of both the AICPA and the NYSSCPA where he is a current member and Past Chair of its Stock Brokerage Committee, as well as a member of the Investment Management Committee. He is also a member of the Securities Industry and Financial Markets Association s financial management and internal audit divisions, and is a graduate of St. John s University. Marshall J. Levinson, CPA, is an Accounting Fellow with the SEC s Division of Trading and Markets, Office of Broker-Dealer Finances. Previously, he was Chief Liquidating Officer of Lehman Brothers Inc., working with the SIPA Trustee, and was also a Senior Managing Director with the Bear Stearns Companies, Inc. He holds a BS in Business Administration from Lehigh University. Mark Levy, CPA, is a Director in the Financial Services Group of McGladrey & Pullen, LLP, based in the New York office, providing audit and general accounting services. His clients include registered broker/dealers, registered investment advisors, funds of funds, investment partnerships (domestic and offshore), management companies, and market makers. He is a member of the AICPA and the NYSSCPA, serves on its Stock Brokerage Committee, and holds a BS in Accounting from Lehman College (CUNY). Mitchell C. Littman, JD, is a Founding Partner of Littman Krooks LLP and heads the firm s corporate and securities department, specializing in public and private offerings, broker/dealer matters, venture and private equity capital investments, and mergers and acquisitions. His clients consist of public and private companies, broker/dealers, and investment banking firms, and he has advised clients in numerous securities transactions over his 28-year career. He is a member of the New York County Lawyers Association Committees on Corporations and Securities and Exchange Commission, and is admitted to the U.S. District Courts for the Southern and Eastern Districts of New York. He graduated cum laude, with distinction, from the University of Rochester, and received his JD from Brooklyn Law School, where he served as Comments Editor of the Brooklyn Journal of International Law. Michael A. Macchiaroli, Esq., is Associate Director of the SEC s Office of Risk Management & Control, Division of Trading and Markets, where he is responsible for the broker/dealer financial responsibility program, which deals with capital recordkeeping, reporting, and customer protection rules. He has been employed at the SEC since 1970 and in the Division of Trading and Markets since 1978. He is a graduate of St. Joseph s College in Philadelphia and Villanova University. Charles J. Pagano, CPA, is a Partner with WeiserMazars LLP and specializes in providing accounting, auditing, regulatory, and consulting services in the financial services field, including a wide range of broker/dealer, trader, and investment partnerships. He has been in public accounting for over 25 years and, prior to that, served as a Senior Examiner for FINRA, formerly the National Association of Securities Dealers (NASD). He has also been involved in other regulated industries, including insurance companies and credit unions. He is a member of the Securities and Financial Markets Association, the AICPA, and the NYSSCPA where he served twice as Chair of the Stock Brokerage Committee. He received his BA from Queens College (CUNY). Gary R. Purwin, CPA, is an Audit Partner with the firm of Pustorino, Puglisi & Co., LLP. He concentrates on the firm s investment services practice, especially hedge funds and broker/dealers, and holds a Series 27 (Financial and Operations Principal) license with the FINRA. A member of the AICPA and the NYSSCPA, he is the Vice Chair of the latter s Stock Brokerage Committee. Martin Racek, CPA, is a Senior Manager within Deloitte & Touche financial services practice, with a focus on the investments, securities, and capital markets industry. His experience includes auditing the corporate and institutional business segment for a global investment bank as well as smaller clients such as future commission merchants and collateral managers, or introducing broker/dealers. He has performed examinations of compliance with voluntary reporting related to derivatives risk management controls; evaluation of risk management activities, with particular focus on capital markets areas; and projects relating to instituting standardized accounting guidelines for the processing of derivative transactions. Jeffrey I. Rosenthal, CPA, CFP, is the Partner-in-Charge in the Financial Services Practice at Anchin, Block & Anchin LLP. He has over 25 years experience providing accounting, tax, and business advice to a wide array of financial services entities, including investment partnerships (domestic and offshore), broker/dealers, mutual funds, and investment advisors. He has extensive experience with newly formed entities, assisting with start-up considerations such as form of practice, structure of agreements, and compensation arrangements, and is a member of the AICPA and the NYSSCPA.
Sherif Sakr, CPA, is a Partner in Deloitte & Touche s Accounting, Valuation & Analytics (AVA) service line of their Enterprise Risk Services Practice. He provides financial accounting and reporting consulting services, and serves as a capital markets specialist for several of Deloitte s global strategic clients. He is one of Deloitte s specialists in areas centered around financial instruments, structured transactions, fair value measurements, and consolidations under both U.S. GAAP and IFRS. He has experience dealing with IFRS first-time adoption, implementing U.S. GAAP and IFRS standards, and reconciling IFRS financial statements to U.S. GAAP and vice versa. He also has experience with share-based payments, mergers and acquisitions, and initial public offerings. Currently leading the technical accounting efforts for Deloitte s IFRS Integrated Market Offering in both the banking and securities and asset management industries, he is a member of Deloitte s Asset Management Leadership Committee and a member of the Partner Advisory Council for Financial Statements & Internal Controls Audit. He is also a member of the AICPA and the NYSSCPA, where he serves as the Vice President and a member of the Manhattan/Bronx Executive Board. Marc H. Stoltz, CPA, is Managing Director of JRS Financial Services, LLC, and provides contract financial management services to emerging firms and financial service organizations. He specializes in financial statement preparation, regulatory reporting, projections, and forecasts, as well as complete tax planning and return preparation. He also assists clients in locating merger or acquisition partners. He was registered with the National Association of Securities Dealers as a Financial and Operations Principal, and has completed the Uniform Securities Agent State Law Examination. He is also a member of the Financial Management and Operations Divisions of the Securities Industry and Financial Markets Association and has been invited by the NASD to be a speaker at various seminars. A member of the AICPA and the NYSSCPA, he received his BBA from Baruch College Zicklin School of Business (CUNY). Stephen C. Strombelline has been the Managing Director, Head of Ethics and Compliance for BNP Paribas in North America since 2003. He spent the preceding four years as Director of Compliance for Barclays Capital Inc. Previously, he served as Deputy Compliance Director for BT Alex. Brown and Head of the Regulatory Affairs and Compliance Review Group at Salomon Brothers Inc. He started his career at the NASD and spent much of the next 16 years as Associate Director of the New York District Office. He is a former Chair of the National Society of Compliance Professionals and served as a member of the NASD New York District Business Committee and its Consultative Committee. He is currently Chair of the Compliance Committee for the Institute of International Bankers, a Vice President for the SIFMA Compliance & Legal Society Executive Committee, Chair of SIFMA s International Subcommittee, a member of the SIFMA Self-Regulation and Supervisory Practices Committee, and a Certified Anti-Money Laundering Specialist (CAMS). He received his MBA in Finance from Adelphi University. Michael E. Stupay, CPA, is a Cofounder and Managing Member of Integrated Investment Solutions LLC. Additionally, he is a Senior Managing Director of Integrated Management Solutions and acts as a consultant to the financial services industry. He serves as the Financial and Operations Principal of several securities broker/dealers, having graduated from the University of Delaware with a BS in Accounting, with a minor in Computer Science and Finance. He is a member of the NYSSCPA and its Stock Brokerage Committee. Sondra Tarshis is the Director, Head of Financial Reporting, Financial Services, at Mazars, providing the firm with specialist technical expertise in the financial services sector. Previously, she was Head of Accounting Policy for Barclays, leading their transition to IFRS in 2005, and was a Technical Manager at the Institute of Chartered Accountants in England and Wales (ICAEW). She is a member of the ICAEW Financial Reporting Committee, chairs its Financial Instruments Working Party, and is a member of the ICAEW Banking Committee. She has also been a member of the British Bankers Association Financial Reporting Advisory Panel and chaired the European Banking Federation IFRS 9 Working Party. E. George Teixeira, CPA, is a Tax Partner in Anchin, Block & Anchin LLP s Financial Services Group and specializes in the taxation of securities transactions and financial services companies, as well as tax compliance and consulting for related entities and individuals. He focuses on clients in the alternative investment, private equity, and financial services industry. Previously, he was Partner at a large national accounting firm servicing the financial industry, where he was the Financial Services Tax Practice Leader of their New York office. He has been involved with some of the largest partnerships (including funds of funds) in the country, and has provided assistance to those expanding their funds offshore. He is a member of the AICPA, the NYSSCPA, the Wall Street Tax Association, and the Managed Funds Association. Grace B. Vogel is Executive Vice President of Member Regulation at FINRA. She oversees the Department of Risk Oversight and Operational Regulation, and is responsible for the ongoing surveillance and annual examinations of firms for financial and operational compliance and areas of broker/dealer risk management and supervision. Previously, she was Executive Vice President of Member Firm Regulation at the New York Stock Exchange and also worked at Citigroup Inc., as Deputy Controller. Prior to that, she served in various financial roles at J.P. Morgan, including Chief Administrative Officer and Chief Financial Officer. She was with the NYSE from 1979 to 1992 as Managing Director, Member Firm Regulation and,prior to that, was a Senior Examiner at the NASD. She received her BS in Accounting at the State University of New York at Albany (University at Albany). Joseph D. Zarkowski, CPA, is a Principal in Rothstein Kass New York office, where he leads the firm s Governance, Risk and Compliance Advisory Group. He specializes in service organization control reporting; Sarbanes- Oxley consulting; outsourced internal audit; and SEC regulatory, compliance, and advisory services. He has chaired various SEC and corporate governance committees for numerous international, national, and local trade organizations. In addition, he has appeared on regional news programs and in print media, discussing a variety of operational risk and corporate governance matters.
R EGISTER FOR THIS C ONFERENCE How to register for the In-Person conference: a Online at www.nysscpa.org. a OR by phone at (212) 719-8383 or (800) 537-3635. a OR fill out the registration form below and mail it to: Foundation for Accounting Education P.O. Box 10490 Uniondale, NY 11555-0490 OR fax the registration form to (866) 495-1354. Registration Form (for In-Person conference only) Important! Please use one registration form per person. This form may be photocopied. Broker/Dealer Conference The Securities Industry in 2011and Beyond C o n f e r e n c e Wednesday, May 11, 2011 New York Marriott Marquis at Times Square 1535 Broadway, at 45th Street New York, NY 10036 8:00 a.m. 5:00 p.m. (Check-in begins at 7:30 a.m.) Course Code: 25558111 (In-Person) Product ID: 20437 (In-Person) Today s Date NYSSCPA Member Yes No Member ID No. Name (Print) Title (Print) Firm Firm Address City State Zip Telephone Fax E-mail Check One: Member Fee: $385 Nonmember Fee: $485 Method of Payment (to use POP 2011, see below) Check Payable to FAE American Express MasterCard Visa Discover Credit Card No. Exp. Date Cardholder s Name Cardholder s Signature POP 2011 Pass Check One: Individual POP 2011 Pass Firm POP 2011 Pass POP 2011 Coupon No. Can't attend this event in person? Attend the Live Webcast! How to register for the Live Webcast using a credit card: a Online at www.nysscpa.org/e-cpe. a OR by phone at (877) 880-1335. Use Course Code: 35558111 Product ID : 20487 Member Fee: $285 (Live Webcast) Nonmember Fee: $385 (Live Webcast) To register for the Live Webcast using a POP 2011 coupon, call FAE Registration at (212) 719-8383 or (800) 537-3635. 11-0222 Registration Information: All registrations must be received 14 days prior to the event in order to guarantee a seat and course materials. Allow approximately 14 days for your return confirmation. Registrants who do not receive a confirmation card before the conference must call FAE Registration to confirm registration status. Individuals who have not registered before the 14-day cutoff must call to determine space availability. Advance paid registrants will be seated first. For space availability and registration information, call FAE Registration during business hours. Program Details: Check-in begins at 7:30 a.m., Wednesday, May 11, 2011. Program begins at 8:00 a.m. and ends at 5:00 p.m. POP 2011 Pass: Take advantage of the savings! If you are a POP 2011 Pass holder, simply return the completed registration form with a POP 2011 Pass number, call FAE Registration at 800-537-3635, or register online at www.nysscpa.org. Each registrant requires a POP 2011 Pass number. Registrations must be received by FAE 14 days prior to any CPE conference or seminar. POP 2011 participants will not be admitted as walk-ins. Some restrictions apply. For more information on the POP 2011 (Pay-One- Price) Program, call FAE Registration at 800-537-3635 or visit our website at www.nysscpa.org. Payment Information: Payment may be made by check or may be charged to American Express, MasterCard, or Visa. Credit card information must accompany all fax, phone, and online registrations. Special Requirements: Participants with special requirements should notify FAE staff at least 14 days in advance of the program. Refunds: No refunds will be given for cancellations received less than 14 days prior to the program date. A $50 processing fee will be deducted from refunds for cancellations received more than 14 days prior to the program date. Transfers: FAE allows a registrant to transfer to another program or substitute another person without a penalty more than 14 days prior to the program date. Transfers and substitutions requested less than 14 days prior will be charged a $25 processing fee. Walk-ins: All individuals who register on the date of the program will be charged an additional $25 fee. Mandatory Continuing Education Requirement: This program complies with the standards set forth by the New York State Education Department for mandatory continuing education for CPAs. FAE s New York State CPE sponsor number is 000372, New Jersey 20CE00022200; Pennsylvania PX177239. 2011 Foundation for Accounting Education This is a paperless event. When you see this icon on any conference, seminar, or other event details page, it means course materials will be available in electronic PDF format only. Within two weeks prior to the event, you will be e-mailed a link to the course materials and you may download the PDF file, save it to your computer, or print all or portions of it at your discretion.
foundation for accounting FAE education 3 park avenue, at 34th street, new york, ny 10016-5991 www.nysscpa.org 1-800-NYSSCPA Broker/Dealer Conference The Securities Industry in 2011and Beyond Wednesday, May 11, 2011 New York Marriott Marquis at Times Square 1535 Broadway, at 45th Street New York, NY 10036 8:00 a.m. 5:00 p.m. (Check-in begins at 7:30 a.m.) Course Code: 25558111 (In-Person); 35558111 (Live Webcast) Product ID: 20437 (In-Person); 20487 (Live Webcast)