Miami partner Dan Newman will address Key 2019 Legislative and Regulatory Initiatives at the Financial Markets Association’s 2019 Securities Compliance Seminar May 1 in Fort Lauderdale. The presentation will highlight areas of enforcement focus affecting financial institutions and the financial services industry and provide a review of legislative initiatives and rulemaking affecting financial services companies. Current developments affecting securities broker-dealers, investment advisors and wealth managers, and commercial banks' capital markets activities also will be discussed.

Newman began his career as an attorney with the U.S. Securities and Exchange Commission's New York Regional Office, where he worked in the Division of Enforcement and had responsibility for the investigation and civil prosecution of violations of the federal securities laws. He represents both plaintiffs and defendants in a variety of business and securities-related litigations. He also represents individuals and entities in connection with investigations and litigation initiated by the SEC, CFTC, FINRA, and state securities regulators, and represents entities, officers and directors in connection with corporate internal investigations, as well as litigation.