2026 New York City Broker-Dealer Compliance Fall Roundtable

Sidley and ACA Group hosted a seminar geared towards in-house counsel and compliance officers on current broker-dealer regulatory issues. The roundtable featured discussions with speakers from ACA, Sidley, and other key industry leaders covering Cybersecurity and Technology, Compliance and Sales Practice, and Financial Responsibility and Operations.

The full agenda is available here.

SPEAKERS

• Eileen Arcuri, Director, Head of Employee Compliance, Charles Schwab
• Francois Cooke, Managing Director, Broker-Dealer Compliance Consulting, ACA Group
• Austin Fiala, Senior Principal Consultant, Risk and Cybersecurity, ACA Group
• David Katz, Partner, Sidley
• Elizabeth Marino, Partner, Sidley
• Nicole Murphy, Chief Compliance Officer, Mercury Advisory LLC, Mercury Investment Services
• Joel Potenciano, Managing Director, Head of U.S. Regulatory Controllers, Jefferies
• Jeff Puente, Executive Director, Co-Head of Americas Operations and Finance Compliance, Morgan Stanley
• Jenny Seale, Partner, Sidley
• Lara Thyagarajan, Partner, Sidley

The 2026 New York City Broker-Dealer Compliance Fall Roundtable program on 9/29 is approved for credit in the following jurisdictions:
California - Up to 1.50 General Credits and 0.75 Technology credits (participatory)
Illinois - Up to 2.25 General Credits
New York - Up to 1.50 Professional Practice Credits and 0.5 Cybersecurity General Credits (non-transitional/appropriate for experienced attorneys only)
FL, TX & VA - Applied Upon Request
Sidley Austin LLP is an accredited provider of CLE credit in California, Illinois, and New York. We can issue reciprocal credit for attorneys who are licensed in Connecticut and New Jersey. We can apply to Florida and Virginia upon request. MCLE credit rules and restrictions vary from state to state.

Nothing in this program may be quoted or used in any manner without the express written consent of Sidley Austin LLP. The views expressed in this program are the views of the participants, and not necessarily those of the firm. This program is for informational purposes only and should not be considered legal advice or creating an attorney-client relationship. This program will not be recorded and is not for attribution.