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Auction Rate Securities: Compliance Issues on the Horizon

August 26, 2008

Sutherland Partner S. Lawrence Polk is speaking at the "Auction Rate Securities:  Compliance Issues on the Horizon" Conference, August 26, 2008.  The program will cover:  how to prepare for potential regulatory inquiries; best practices for identifying and evaluating conflicts of interest; best practices for CCOs in responding to customer complaints or inquiries about auction rate securities; the ramifications that could arise if class-action claims brought by customers are consolidated into one multi-district litigation forum; strategies for opposing class certification of claims; and what kind of information your firm should start gathering that could later help you mount a defense in case customers file a complaint regarding your sales to them.

A CD recording of this conference is available for purchase here.

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