43rd Annual Rocky Mountain Securities Conference Out of Stock
Co-sponsored by the Securities and Exchange Commission and the Business Law Section of the Colorado
Quantity
May 2011
43rd Annual Rocky Mountain Securities Conference - CD Homestudy
Program Description
Dodd - Frank created the most dramatic changes in the regulatory environment in decades and these regulations are still being enacted weekly. The Annual Rocky Mountain Securities Conference, now in its 43rd year, is a unique opportunity to hear from leading national and local industry and regulatory authorities about the most current developments affecting business law practitioners. This year the Conference will feature presentations from:
* Troy Paredes, SEC Commissioner
* Robert Khuzami, Director, Division of Enforcement SEC Enforcement
* Robert Khuzami, Director, Division of Enforcement SEC Enforcement
* Richard G. Ketchum, Chairman and CEO, FINRA
* Julius Leiman-Carbia, Associate Director, National Broker-Dealer Examination Program, Office of Compliance Inspections and Examinations, Securities and Exchange Commission
* John Walsh, US Attorney, District of Colorado
* John Walsh, US Attorney, District of Colorado
* Fred Joseph, Commissioner, Colorado Division of Securities
* Shelley Parratt, Deputy Director, Division of Corporation Finance
* Jean Woodford, First Assistant Attorney General for Securities and Financial Fraud
* Stanley Sporkin, U.S. District Court Judge (retired); Former Director, SEC Enforcement Division
* Donald M. Hoerl, SEC Regional Director,
* Dan Goelzer, Board Member, Public Company Accounting Oversight Board
... and top securities lawyers from Colorado and around the nation!
Topics:
Investor Advocacy, Capital Formation and Small Business Development: A Regulatory Approach
Presented by:
Commissioner Troy Paredes, Securities and Exchange Commission
Enforcement in an Era of Reform and Budgetary Constraints
Panelists:
- John Walsh, US Attorney, District of Colorado
- Robert Khuzami, Director, Division of Enforcement, Securities and Exchange Commission
- Jean Woodford, First Assistant Attorney General for Securities and Financial Fraud
- Fred Joseph, Commissioner, Colorado Division of Securities
- Julie Lutz, Securities and Exchange Commission
Moderated by:
George B. Curtis, Gibson Dunn & Crutcher LLP
The Defense Response: Initiatives, Cooperation and Other Expansive Enforcement Concepts
Panelists:
- Randall Fons, Morrison & Foerster, LLP
- David Zisser, Davis Graham & Stubbs LLP
- Mike Cillo, Davis & Ceriani PC
- Holly Sollod, Holland & Hart LLP
Moderated by:
Donald Hoerl, Regional Director, Denver Regional Office, Securities and Exchange Commission
Securities Professionals in an Era of Enhanced Regulation and Enforcement
Panelists:
- Julius Leiman-Carbia, Associate Director, National Broker-Dealer Examination Program, Office of Compliance Inspections and Examinations, Securities and Exchange Commission
- Dan Goelzer, Board Member, Public Company Accounting Oversight Board
- Daniel Shea, Hogan Lovells US LLP
Moderated by:
Kevin Goodman, Associate Regional Director, Regulation, Securities and Exchange Commission
FINRA's Role in a Rapidly Changing Market: Challenges and Achievements
Presented by:
Richard Ketchum, Chairman and CEO, Financial Industry Regulatory Authority (FINRA)
Corporate Finance - The Challenge and Consequences of Dodd Frank
Panelists:
- Shelley Parratt, Deputy Director, Division of Corporation Finance, Security and Exchange Commission
- Reid Godbolt, Jones & Keller, P.C.
- Robert Walter, Robert. W. Walter, P.C.
Moderated by:
Jason Day, Faegre & Benson LLP
Ethics in a Dynamically Changing Regulatory and Enforcement Environment
Panelists:
- Stanley Sporkin, U.S. District Court Judge (retired); Former Director, SEC Enforcement Division
- John Olson, Gibson, Dunn & Crutcher, LLP
- John Tanner, Fairfield and Woods PC
Moderated by:
Stanley Sporkin, U.S. District Court Judge (retired); Former Director, SEC Enforcement Division
Corporate Governance in a Changing Regulatory and Enforcement Climate
Panelists:
- John Olson, Gibson, Dunn & Crutcher, LLP
- Jason Day, Faegre & Benson LLP
- Josiah Hatch, Ducker, Montgomery, Aronstein & Bess, P.C.
Moderated by:
Cathy Krendl, Krendl Krendl Sachnoff & Way, P.C.
- CLE Pass Price *FREE! - exclusions may apply
- Standard Price $399.00 USD
- Member Price $349.00 USD
- General Credits 9.00
- Ethics Credits 1.50
- EDI Credits