ASAFE - Finance Law Seminar


MCCA Award
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) 2014 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 and Business Seminar Series

A Six-Part Seminar Series for Diverse Law and MBA Students from New York & New Jersey Law and Business Schools Featuring Leading Business, Compliance and Legal 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, Finance Law and Business 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, 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 build enduring leadership skills and content knowledge, increase the competitive strength of diverse talent seeking jobs 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 and Members of their Families, First Generation Graduates, Economically Disadvantaged Students and Students with Disabilities.

Seminar Series Flyer

Seminar Series Photos

Seminar Series LinkedIn Group (Current participants and alumni)

Frequently Asked Questions (Students and Volunteers)


2015 Seminar Series Topics & Dates

February 6 | Public Finance (National & International)
Peter L. Canzano, Sidley Austin LLP
James E. Pass, Guggenheim Partners

February 13 | Corporation Finance
Brian V. Breheny, Skadden, Arps, Slate, Meagher & Flom LLP

February 27 | Investment Management
Barry P. Barbash, Willkie Farr & Gallagher LLP

March 20 | Life of a Deal
Derek Ahmann, Guggenheim Partners
H. Andrew Decker, Guggenheim Partners

April 17 | Regulatory Oversight and Policy 
Anthony Alexis, Consumer Financial Protection Bureau (CFPB)
Richard R. Best, Financial Industry Regulatory Authority, Inc. (FINRA)
Jacqueline LiCalzi, Morgan Stanley
Representative, U.S. Securities and Exchange Commission (SEC)
Special keynote introduction by Stuart Breslow, Chief Compliance Officer, Morgan Stanley

April 24 | Enforcement
Linda Chatman Thomsen, Davis Polk & Wardwell LLP
Claudius O. Sokenu, Shearman & Sterling LLP

All seminar dates fall on a Friday and will be conducted from 4pm—7pm at the New York City Bar Association, Guggenheim Partners, or Morgan Stanley. Participants are expected to attend all seminars. 

The Advisor-Volunteer portion of each session will begin at 6:15pm.

For more information, please contact Monica Parks 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.


2015 Seminar Series Application (Download)

The 2015 application deadline has passed.


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

The New York City Bar Office for Diversity and Inclusion and the Alliance of Securities and Financial Educators (ASAFE) are seeking attorneys and business professionals with securities and finance law experience, and investment and compliance professionals to participate as Advisor–Volunteers at our 2015 Securities, Finance Law and Business Seminar Series. Advisor–Volunteers will meet in rotations at the end of each seminar with small groups of students from NY/NJ law and business schools. Students have been selected based upon their commitment to gaining a higher level of knowledge in securities, finance law, and business. We ask Advisor-Volunteers to share their areas of expertise and career path leading to their current position at a law firm, in-house, financial firm, corporation, the government or elsewhere. We anticipate that 100 law and business students from 13 regional schools will participate in this series. This series brings law and business students together to accelerate the understanding of client-attorney transactions and relationships. 

We will hold an orientation for all Advisor-Volunteers on Wednesday, January 28th at Guggenheim Partners. To RSVP for the Orientation, please email Monica Parks at

Advisor-Volunteers can volunteer on one or more of the following dates: 2/6, 2/13, 2/27, 3/20, 4/17 or 4/25. Interested attorneys can register at the following link: