May 5, 2017

The Rocky Mountain Securities Conference is the Rocky Mountain Region’s PREMIER securities conference presented by many of the country’s most knowledgeable securities practitioners!

If you want to get the facts, gain insight about the impact of the new administration, and hear from voices of experience ... DON’T MISS THIS CONFERENCE!

Topics Include:

■ What’s Ahead for Regulation and the SEC?

■ SEC Enforcement – Current Priorities and Litigation Update
■ Regulated Entities – Industry Developments and the SEC’s National Examination Program
■ Corporation Finance: Policy Update and Regulatory Agenda
■ Professionalism in the Securities Industry: Liability of Gatekeepers
■ Investment Advisers and Private Funds
■ New Perspectives on Capital Formation for Small Business
■ Current Considerations for Corporate Transactions
■ Current Trends in Securities and White Collar Defense
■ General Counsel Viewpoints
■ Accounting and Audit Issues: Hot Topics and Important Updates
■ Ethical Issues for Securities Industry Professionals


 The 49th Annual Rocky Mountain Securities Conference provides a line-up of presenters who are well known throughout the securities profession and whose observations have earned the respect and attention of the investment community.

CLE Credits

Submitted for 8 General CLE Credits, including 2 Ethics

Recommended for 8 Hours of CPE Credit

A Little About Us

CLE in Colorado, Inc. (Colorado Bar Association CLE [CBA-CLE]) is the nonprofit education arm of the Colorado Bar Association and the Denver Bar Association. We produce high-quality continuing legal education programs and legal publications at competitive prices, with substantial member discounts. We are self-supporting and receive no membership dues from the CBA or DBA. Our income derives from program registration fees and from sales of books, audio homestudy courses, and course manuals. Every year, hundreds of Colorado lawyers and judges volunteer their time and expertise to help us produce these educational resources for our members. Without this generous contribution of talent, CBA-CLE could not fulfill its mission.

Contact Information

Customer Service Number:

303-860-0608 (toll-free 888-860-2531)
Customer Service Hours:  Monday - Friday, 8:00am - 5:00pm

Mailing Address:
CLE in Colorado
1900 Grant Street, Ste 300
Denver, CO 80203

www.cobarcle.org