Washington Regulatory Update

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Date November 8th from 11:30 AM – 1:00 PM
Location Wine & Wall (One Market) – 30 Steuart Street, San Francisco, CA 94105
Ticket Prices $25 Early-Bird (first 10 members only), $30 Members, $45 Non-members
Ticket price includes access to the event, sandwich bar and beverages.
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Description NIRI Chapter leaders from across the U.S. recently joined NIRI National in Washington D.C. for Leadership Week and met with SEC Commissioner Michael Piwowar, SEC Director of the Division of Corporation Finance Bill Hinman, and several Senate and House of Representatives staffers to discuss proposed or pending legislative acts which have potentially significant impacts on disclosure requirements for public companies, institutional investors and advisory firms. Topics included, but were not limited to, CEO pay ratio disclosures rules coming into effect through Dodd-Frank, proposed updates to the 13-D filing requirements through the Brokaw Act, and a proposal of SEC oversight of Proxy Advisory Firms via the Duffy-Carney bill.

Join your NIRI SF colleagues on November 8th for a Leadership Week recap, including an informative overview of SEC agency priorities and potential changes under its new, pro-business Chairman, Jay Clayton, pending regulatory updates, and learn how you, your management team, and your shareholders may be impacted. Representatives from NASDAQ and the NYSE will also share their regulatory reform and advocacy efforts and discuss how issuers can take advantage of their services to ensure their voices are heard.
Handouts Download event handouts here:
CEO Pay Ratio
Nasdaq Blueprint to Revitalize Capital Markets
NIRI Case for Short Selling Disclosure Rule
NIRI Spotlight on Advocacy
NIRI Talking Points 13D Reform
NYSE Public Company CEO Pay Ratio Letter
NYSE Public Company Letter on Conflict Minerals
Right Sizing Reg FS
Agenda 11:30am - 12:00pm: Registration and networking
12:00pm - 1:00pm: Speaker and Q&A


Ted Allen, Vice President, Strategic Communications, NIRI

Randall Hopkins, Head of Capital Markets Reform and Innovation, Nasdaq

Linda Pazin, Regional Head, Global Listings, NYSE