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MCCA Award
On Thursday, the City Bar's collaborative Securities and Finance Law Seminar Series for Diverse Law and Business Students was recognized with the Minority Corporation Counsel Association's (MCCA) George B. Vashon Innovator Award. The Award was presented at the MCCA's annual Pathways to Diversity Conference in Washington DC.


ASAFE/NYC Bar Securities & Finance Law Seminar Series

A Six-Part Seminar Series for Diverse Law and Business Students from New York & New Jersey Graduate Schools Featuring Leading Legal and Compliance Experts in the Financial Services Industry

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Program Information


The New York City Bar Association and the Alliance of Securities and Financial Educators (ASAFE) conduct an annual six-part Seminar Series on Securities and Finance Law for diverse students attending New York City area law schools and business schools.The sessions are presented by leading experts in the following areas: securities and finance law, (including former and current regulators) corporate and regulatory compliance; and investment and advisory management. Participants will have an opportunity to learn about the nuts and bolts and cutting edge issues in securities and finance law and business, explore careers in securities and finance law and financial services, and develop professional networks by meeting legal, business and compliance professionals drawn from early, mid-level and senior positions.

This ASAFE and New York City Bar seminar series is designed to increase the competitive strength of diverse talent seeking jobs in the securities and finance industry and to increase diversity and inclusion in the securities and finance industries of traditionally underrepresented groups. This includes the following categories: Black or African American, Latino or Hispanic, American Indian or Alaskan Native, Asian American, Native Hawaiian or Other Pacific Islander, Two or More Races, Women, LGBT Students, Veterans, First Generation Graduates, Economically Disadvantaged Students and Students with Disabilities

Seminar Series Flyer

Photos from 2013 Seminar Series



January 24 | Overview of Securities and Finance
Richard R. Best, Financial Regulatory Authority


February 7 | The Life of a Deal
Guggenheim Partners LLC


March 21 | Enforcement
Linda Chatman Thomsen, Davis Polk & Wardwell LLP, Former Director, Division of Enforcement, SEC


March 28 | Whistleblowing, Three Roles-Plaintiff's Counsel, Regulator and In-House Counsel
Pierre Armand, United States Attorney's Office, SDNY

Jordan A. Thomas, Labaton Sucharow LLP


April 11 | Corporation Finance
Brian V. Breheny, Skadden Arps, Meagher & Flom LLP



April 25 | Investment Management
Barry P. Barbash, Willkie Farr & Gallagher LLP


The Seminars will be held in the Meeting Hall at the New York City Bar Association, located at 42 West 44th Street, between 5th and 6th Avenues.  Each session is scheduled to run from 4 p.m. – 7 p.m.

For more information, please contact Clare Plunkett at the City Bar at



Application Information

Eligibility Requirement

To be considered for selection, law or business students must attend one of the following schools and be a second or third year law student or enrolled in a MBA program or JD/MBA program:

Law Schools
Benjamin N. Cardozo School of Law, Brooklyn Law School, Columbia Law School, CUNY School of Law, Fordham Law School, Hofstra University School of Law, New York Law School, New York University School of Law, Pace Law School, Rutgers School of Law, Seton Hall University School of Law, St. John's University School of Law or Touro Law Center.

Business Schools
Columbia University: Columbia Business School; CUNY Baruch College: Zicklin School of Business; Fordham University: Graduate School of Business; Hofstra University: Zarb School of Business; New York University: Stern School of Business; Pace University: Lubin School of Business; Rutgers University: Rutgers Business School; Seton Hall University: Stillman School of Business; St. John's University: Peter J. Tobin School of Business; Touro College: Touro Graduate School of Business; Yeshiva University: Sy Syms School of Business.


Students must submit an application and resume for consideration. Students are also required to submit a typewritten statement of interest.

 Frequently Asked Questions (Students)



Applications for the 2015 Seminar Series will be available after December 1, 2014.


Securities and Finance Law Volunteer Attorneys and Investment and Compliance Professionals Needed

The Office for Diversity Pipeline Initiatives is seeking attorneys with securities and finance law experience to participate as Advisor–Volunteers during the new Securities and Finance Law Seminar Series. Advisor–Volunteers will meet after each seminar with diverse law students from local law schools who are interested in learning more about a career in securities or finance law. We ask the volunteers to talk about their practice and their career path leading to their current position at a law firm, in-house, with the government or elsewhere. Attorneys can volunteer on one or more of the following dates: 3/21, 3/28, 4/11 and 4/25. Interested attorneys can register at the following link:


Frequently Asked Questions (Volunteers)