The SEC announced the panelists and final agenda for a public roundtable on microcap securities to be held 10/17/11.  It's being sponsored by the SEC's Microcap Fraud Working Group and will feature 3 panels discussing key regulatory issues, including AML monitoring, compliance challenges, and potential changes to the microcap regulatory framework. The afternoon event runs from 1 p.m. to 5 p.m. ET, and will be held at the SEC's Washington, D.C. headquarters.  Public seating is on a first-come, first-served basis.  The event also can be viewed by live webcast, and will be archived on the website for later viewing. Agenda and Panelists. 1:00 p.m.   Call to Order and Opening Remarks. SEC Chairman Mary Schapiro;  Robert Khuzami, Director of the Division of Enforcement. 1:15 p.m.  Panel 1.  Compliance Challenges Associated with Microcap Securities.

• Peter Curley - Associate Director, SEC Trading and Markets. (Moderator)
• Claire Santaniello - MD and CCO, Pershing
• Mihal Nahari - CCO,  DTCC
• Thomas Merritt - SMD, Dep'y General Counsel, Corporate Secretary, Knight Capital Group
• Steven Nelson - Chairman, Continental Stock Transfer and Trust Company
• Marvin Pickholz - Partner, Duane Morris
• Brian Lebrecht - Founder, The Lebrecht Group, APLC
• David Chapman - Director, FINRA Market Regulation

2:30 p.m.   Panel 2.  Anti-Money Laundering Monitoring.

• Sarah Green, BSA Specialist, SEC Office of Market Intelligence  (Moderator)
• Betty Santangelo - Partner, Schulte Roth & Zabel
• Susan DeSantis - MD, Deputy CCO, DTCC
• Lynne Johnston - U.S. Head of AML Compliance, RBC Capital Markets
• Harold Crawford - Global Director of AML & Sanctions, Brown Brothers Harriman & Co.
• Aaron Fox - MD, IPSA International Inc.
• Jeff Horowitz - MD, Chief AML and OFAC Officer, Pershing
• Bill Park - Director, FINRA Enforcement

3:45 p.m.   Panel 3.  Potential Changes to the Regulatory Framework Concerning Microcap Securities.

• John Polise - Assoc. Director, SEC's OCIE  (Moderator)
• David Feldman - Partner, Richardson & Patel LLP
• Susan Merrill - Partner, Bingham McCutchen
• Chris Stone - VP, FINRA Equity Products
• Susan Grafton - Of Counsel, Gibson, Dunn & Crutcher
• Walter Van Dorn - Partner, SNR Denton US LLP
• Cromwell Coulson - President, CEO, Director, OTC Markets Group

For further details, go to:   [SEC PR 11-203, 10/12/11]