Moderator – The PIPEs Conference Las Vegas

p>I moderated a session at the PIPEs conference in Las Vegas on November 10, 2010.

The Impact of FINREG on PIPE Funds 9:30-10:20AM
The passing of Financial Regulation will have widespread impact on all aspects of the financial community. This panel covers the deadlines for completing SEC investigation and examination, smaller issuers exempted from SOX 404(b), disclosure regarding hedging policies (short sale positions), beneficial ownership and short-swing profit reporting.

Moderator: Ken Norensberg, FINRA Board of Governors
Panelists: Ron Geffner, Sadis & Goldberg; Sam Krieger, Krieger & Prager; Laura Lanza Tyson, Baker Botts

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