44th Annual Rocky Mountain Securities Conference
April 2012
44th Annual Rocky Mountain Securities Conference
Program Description:
The Rocky Mountain Region's PREMIER securities conference presented by many of the country's most knowledgeable securities practitioners!
Unmatched networking opportunities
Hear from local, statewide and national practice leaders
Topics include:
- Enforcement Views
- The Perspective from the Defense
- Corporate Finance
- Small Cap Finance
- Ethics
- Corporate Governance
The 44th Annual Rocky Mountain Securities Conference provides a lineup of respected presenters who are well known throughout the securities profession and whose observations have earned the respect and attention of the investment community.
You would have to travel to Washington DC or New York and pay thousands of dollars to find a conference that offers as much as RMSC offers for a fraction of the cost. Reserve your place and be part of this very special event right here in Denver!
Topics:
Keynote Speaker: Commissioner Daniel Gallagher, Securities and Exchange Commission
Introduction by George Curtis, Partner, Gibson, Dunn & Crutcher, LLP
Enforcement Views
Panelists:
- Carlo diFLorio, Director, Office of Compliance Inspections and Examinations, Securities and Exchange Commission
- Robert Khuzami, Director, Division of Enforcement, Securities and Exchange Commission
- John Walsh, US Attorney, District of Colorado
Moderated by:
Donald Hoerl, Regional Director, Denver Regional Office, Securities and Exchange Commission
The Perspective from the Defense
Panelists:
- Randall Fons, Partner, Morrison Foerster
- Joan McKown, Partner, Jones Day
- Holly Sollod, Partner, Holland & Hart LLP
- David Zisser, Of Counsel, Davis Graham & Stubbs LLP
Moderated by:
Dan Shea, Partner, Hogan Lovells
Corporate Finance
Panelists:
- Jason Day, Partner, Perkins Coie
- John Olson, Partner, Gibson, Dunn & Crutcher, LLP
- Shelly Parratt, Deputy Director, Div. of Corp. Finance, Securities and Exchange Commission
- Jeffrey Sherman, Special Counsel, Faegre Baker Daniels
Lunch Presentation: What Securities Lawyers Need to Know About the Brave New World of Global Auditing (And Why It Is Changing Main Street)
James Doty, Chairman, Public Company Accounting Oversight Board (PCAOB)
Ethics
- Margaret McLean, Chief Ethics and Compliance Officer, CH2M Hill
- John Olson, Partner, Gibson, Dunn & Crutcher, LLP
- Linda Thomsen, Partner, Davis Polk
Moderated by:
George Curtis, Gibson, Dunn & Crutcher, LLP; Former Deputy Enforcement Director, Securities and Exchange Commission
Corporate Governance
Presented by:
- Richard Mattera, Senior Deputy General Counsel, UnitedHealth Group
- Josiah Hatch, Partner, Ducker, Montgomery, Lewis & Bess, P.C.
- Cathy Krendl, Partner, Krendl, Krendl, Sachnoff & Way, P.C.
- John Olson, Partner, Gibson, Dunn & Crutcher, LLP
Small Cap Finance
Panelists:
- Frank Birgfeld, The St. Croix Group LLC
- Daniel Jablonsky, Brownstein, Hyatt, Farber & Schreck LLP
- Gerald LaPorte, Securities and Exchange Commission
Moderated by:
Reid Godbolt, Jones & Keller
Regulated Entities
Panelists:
-Jacqueline Whelan , Financial Industry Regulatory Authority (FINRA)
-Andrew Bowden, Associate Director, Office of Compliance Inspections and Examinations, Securities and Exchange Commission
-Fred Joseph, Commissioner, Colorado Division of Securities
Moderated by:
Kevin Goodman, Associate Regional Director - Regulation, Securities and Exchange Commission
Planning Committee:
George Curtis
Gibson, Dunn & Crutcher, LLP
Former Deputy Enforcement Director
Securities and Exchange Commission
Denver, CO
Robert Davenport
Jones & Keller, PC
Of Counsel
Former Regional Director
Securities and Exchange Commission
Denver, CO
Donald Hoerl, Program Chair
Regional Director
Securities and Exchange Commission
Denver, CO
Daniel Shea
Hogan Lovell
Denver, CO
Faculty:
Frank Birgfeld
The St. Croix Group LLC
Centennial, CO
Andrew Bowden
Securities and Exchange Commission
Washington, DC
George Curtis
Gibson, Dunn & Crutcher, LLP
Former Regional Director
Securities and Exchange Commission
Denver, CO
Jason Day
Partner
Perkins Coie LLP
Denver, CO
Carlo diFlorio
Director
Office of Compliance Inspections and Examinations
Securities and Exchange Commission
Washington, DC
James Doty
Chairman, PCAOB
Washington, DC
Commissioner Daniel Gallagher
Securities and Exchange Commission
Washington, DC
Randall Fons
Partner
Morrison Foerster
Former Regional Director, SEC
Denver, CO
Reid Godbolt
Jones & Keller
Denver, CO
Kevin Goodman
Associate Regional Director - Regulation
Securities and Exchange Commission
Denver, CO
Josiah Hatch, III
Partner
Ducker, Montgomery, Lewis & Bess, PC
Denver, CO
Donald Hoerl
Regional Director
Securities and Exchange Commission
Denver, CO
Daniel Jablonsky
Brownstein, Hyatt Farber Schreck LLP
Denver, CO
Fred Joseph
Banking and Securities Commissioner
Colorado Division of Securities
Denver, CO
Robert Khuzami
Director, Division of Enforcement
Securities and Exchange Commission
Washington, DC
Cathy Krendl
Partner
Krendl, Krendl, Sachnoff & Way, PC
Denver, CO
Gerald J. LaPorte
Chief Office of Small Buisness Policy
Division of Corporation Finance
U.S. Securities and Exchange Commission
Washington, DC
Richard Mattera
Senior Deputy General Counsel
United Health Group
Minneapolis, MN
Margaret McLean
Chief Ethics and Compliance Officer
CH2M Hill
Denver, CO
Joan McKown
Partner
Jones Day
Washington, DC
John Olson
Gibson, Dunn & Crutcher, LLP
Washington, DC
Shelley Parratt
Deputy Director, Division of Corporation Finance
Securities and Exchange Commission
Washington, DC
Daniel Shea
Hogan Lovell
Denver, CO
Jeffrey Sherman
Faegre Baker Daniels LLP
Denver, CO
Holly Sollod
Holland & Hart LLP
Denver, CO
Linda Thomsen
Former Enforcement Director, Securities and Exchange Commission
Davis Polk & Wardwell, LLP
Washington, DC
John Walsh
US Attorney
District of Colorado
Denver, CO
Jacqueline Whelan
FINRA
Washington, DC
David Zisser
Davis Graham & Stubbs LLP
Denver, CO
Location Information
Marriott City Center Hotel
1701 California Street
Denver, CO 80202
Get directions
1701 California Street
Denver, CO 80202
Registration Fees
| Non Member | $399.00 |
| Non Member | $379.00 |
| CBA | $349.00 |
| Non Member | $349.00 |
| CBA | $329.00 |
| Non Member | $329.00 |
| CORP | $319.00 |
| Non Member | $299.00 |
| CORP | $299.00 |
| Non Member | $279.00 |
| CLEACCESSPASS | $0.00 |
- General Credits: 8.00
- Ethics Credits: 1.50
- EDI Credits:
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