Gail Marshall-Smith, Of Counsel, Bingham McCutchen to Speak at KCs NASD Rule 2821 Amendment No. 4 Event on August 2007
Summary
4 to the proposed NASD Rule 2821 which prescribes sweeping changes in sales practices and supervisory requirements for dealings in deferred variable annuities.Gail has substantial experience in market structure issues and received an award from former SEC Chairman Arthur Levitt for her work on rules relating to order handling, electronic communication networks (ECNs) and best execution.Gail is former hearings counsel at the Nasdaq Stock Market, where she was responsible for conducting the appeal process for issuers who failed to comply with the listing standards; represented broker-dealers in connection with investigations by the SEC, NASD, NYSE and federal and state regulators; performed mock audits to evaluate broker-dealers’ compliance with SEC and SRO rules; and assisted investment advisers and broker-dealers in drafting policies and procedures.The panel will present their findings in this two-hour live teleconference.About Gail Marshall-SmithGail Marshall-Smith represents clients in all segments of the securities industry including full-service, discount, bank, independent contractor and insurance broker-dealers, as well as dual registrants and transfer agents.Gail has substantial experience in market structure issues and received an award from former SEC Chairman Arthur Levitt for her work on rules relating to order handling, electronic communication networks (ECNs) and best execution.Gail is former hearings counsel at the Nasdaq Stock Market, where she was responsible for conducting the appeal process for issuers who failed to comply with the listing standards; represented broker-dealers in connection with investigations by the SEC, NASD, NYSE and federal and state regulators; performed mock audits to evaluate broker-dealers’ compliance with SEC and SRO rules; and assisted investment advisers and broker-dealers in drafting policies and procedures.She attended Westfield State College, Bachelor of Science, 1985; New England School of Law, Juris Doctor, 1992; and Georgetown University Law Center, Master of Laws in 1994.Gail Marshall-Smith is a member of the American Bar Association and is admitted to practice in Massachusetts.For more information about Gail Marshall-Smith and Bingham McCutchen please visit: http://www.bingham.com/About The Knowledge CongressThe Knowledge Congress is an organization that produces teleconferences that examine regulatory changes across a variety of industries.