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SEC Regulatory Updates Covering Best Execution and Digital Currencies


Steven Meiner Senior Counsel, SEC Division of Enforcement and James Richardson, SEC Examiner Investment Adviser group

Start Time

5/1/2019 5:30 PM

End Time

5/1/2019 8:00 PM

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Member Price


Non-Member Price


Candidate Price


Location Info

Ruth's Chris Steak House
225 NE Mizner Blvd Suite 100
Boca Raton, FL 33432

Event Description

Join us to deepen your knowledge and get 1 hour of CE credit, including 1 hour of Standards, Ethics, and Regulations (SER) credit. Get the latest regulatory update from SEC staff and enjoy drinks and appetizers.


Ruth's Chris Steak House

225 NE Mizner Blvd Suite 100

Boca Raton, FL 33432



Check-in 5:30 PM
Event Start 6:00 PM


Steven Meiner has worked at the U.S. Securities and Exchange Commission, Miami, FL as Senior Counsel in the Division of Enforcement since May 2007-Present. Steven served as a member of the Asset Management Unit from 2015-2018. Prior to joining the SEC, Steven practiced for 11 years in New York as a litigator in private practice. His educational background consists of attending Brooklyn Law School, where he obtained his J.D., and graduated cum laude in 1996 in the Top 6% of his class. There he received several honors such as making the Dean’s List and serving as the Assistant Managing Editor on a journal. He also graduated from Brooklyn College, with a Bachelors of Arts, and recognized as summa cum laude in 1993 with a GPA of a 3.93. Some honors Steven received while there included Phi Beta Kappa, Dean’s List, and the Scholars Program. Steven has also received his bar admissions to practice in New York and the USDC for the Southern and Eastern Districts of New York.

James Richardson joined the Securities and Exchange Commission in 2015 as an Examiner in the Investment Adviser Examinations group. He was formerly employed at Chicago Board Options Exchange and FINRA for three years in the Chicago offices. He worked in the Member Regulation Division examining large trading firms with memberships to the various electronic equity and options exchanges. Prior to his regulatory career, James spent 15 years in the Chicago futures trading pits as a member of both the Chicago Board of Trade and the Chicago Mercantile Exchange. He was promoted to Vice President at Morgan Stanley and then Man Financial for his specialization in short term interest rate futures and options. James received his Bachelors of Science in Financial Management from Clemson University in Clemson, SC and his Masters in Business Administration from DePaul University in Chicago, IL.

Event Type


Society Category


Education Topic

Standards, Ethics, and Regulations

Event Region


CE Credit


SER Credit


Event Terms

On-site registrations are accepted on an exception basis and are payable with credit card only. To cancel, please send an email to​ with your name, email address and CFA Society South Florida member ID (same as CFA Institute ID for regular and affiliate members)​ if applicable. ​

Advance registrations that fail to attend or that fail to cancel prior to 48 hours before the event will be billed at the non-member walk-in rate quoted for the event. If the event is subsidized for both members and non-members, late cancellations and no-shows may be billed at the actual cost per attendee. Cancellations for a full refund must be made at least 48 hours before an event. Registrations cancelled within the last 48 hours prior to an event are not eligible for a refund.​​

Location Name

Ruth's Chris Steak House - Boca Raton

All Day Event





5/1/2019 8:00 PM



Event Manager Email

Location Address

225 NE Mizner Blvd, Suite 100

Location City

Boca Raton, FL 33432

Event Link


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Event Short Info

Approval Status Approved


Content Type: MyCFA Calendar
Created at 4/10/2019 10:16 PM by 38
Last modified at 5/26/2019 9:26 PM by 38