43rd Annual Rocky Mountain Securities Conference
May 2011
43rd Annual Rocky Mountain Securities Conference
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, SEC
* 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 include:
- Investor Advocacy, Capital Formation and Small Business Development: A Regulatory Approach
- Enforcement in an Era of Reform and Budgetary Constraints
- The Defense Response: Initiatives, Cooperation and Other Expansive Enforcement Concepts
- FINRA's Role in a Rapidly Changing Market: Challenges and Achievements
- Securities Professionals in a Era of Enhanced Regulation and Enforcement
- Corporate Finance - the Challenge and Consequences of Dodd Frank
- Ethics in a Dynamically Changing Regulatory and Enforcement Environment
- Corporate Governance in a Changing Regulatory and Enforcement Climate
You would have to travel to Washington DC or New York paying thousands of dollars to find a conference that offers this much. Reserve your place and be part of this very special event right here in Denver!
If you want to get the facts from the experts, don't miss this conference!
Register today - seating is limited!
Agenda:
7:15 - 8:00 am
Registration
8:00 - 8:15 am
Welcoming Remarks
Donald Hoerl, Program Chair, Regional Director, Denver Regional Office, Securities and Exchange Commission
Gary Abrams, Executive Director, Colorado Bar Association CLE
8:15 am
Introduction of Commissioner Troy Paredes
Donald Hoerl, Regional Director, Denver Regional Office, Securities and Exchange Commission
8:15 - 8:45 am
Investor Advocacy, Capital Formation and Small Business Development: A Regulatory Approach
Presented by:
Commissioner Troy Paredes, Securities and Exchange Commission
8:45 - 10:00 am
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
10:00 - 10:15 am
Networking Break
10:15 - 11:15 am
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
11:15 am - 12:15 pm
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, SEC
- 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
12:15 - 1:30 pm
FINRA's Role in a Rapidly Changing Market: Challenges and Achievements
Presented by:
Richard Ketchum, Chairman and CEO, Financial Industry Regulatory Authority (FINRA)
1:30 - 2:30 pm
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
2:30 - 3:45 pm
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
3:45 - 4:00
Networking Break
4:00 - 5:00 pm
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.
5:00 pm
Adjourn
Cancellations
CANCELLATIONS: If you are unable to attend, please notify CBA-CLE by April 29, 2011 and we will gladly refund your tuition in full or transfer your tuition to the homestudy. Cancellations after April 29 will be refunded less a $50 cancellation fee.
Lodging
The Conference is being held at the Denver Marriott City Center Hotel, 1701 California Street, Denver, CO 80202
CLE has reserved a small block of rooms for guests of the Conference at the Denver Marriott City Center Hotel. Room rates start at $159 plus applicable taxes. Please call 1-800-444-2206 to make your reservation. When making your reservation, in order to receive the group room rate, please indicate that you are a guest of the 43rd Annual Rocky Mountain Securities Conference. Please make your reservation by April 15, 2011. Rooms will be released after this date.
PLANNING COMMITTEE:
Donald Hoerl, Program Chair
Regional Director
Securities and Exchange Commission
Denver, CO
George Curtis
Gibson, Dunn & Crutcher, LLP
Former Regional Director
Securities and Exchange Commission
Denver, CO
Robert Davenport
Jones & Keller, P.C.
Of Counsel
Former Regional Director
Securities and Exchange Commission
Denver, CO
FACULTY:
Mike Cillo
Davis & Ceriani PC
Denver, CO
George Curtis
Gibson, Dunn & Crutcher, LLP
Former Regional Director
Securities and Exchange Commission
Denver, CO
Jason Day
Faegre & Benson LLP
Denver, CO
Randall Fons
Morrison & Foerster, LLP
Former Regional Director, SEC
Denver, CO
Reid Godbolt
Jones & Keller, PC
Denver, CO
Daniel Goelzer
Board Member
Public Company Accounting Oversight Board
Washington, DC
Kevin Goodman
Associate Regional Director - Regulation
Securities and Exchange Commission
Denver, CO
Josiah Hatch, III
Ducker, Montgomery, Aronstein & Bess, P.C.
Denver, CO
Donald Hoerl
Regional Director
Securities and Exchange Commission
Denver, CO
Fred Joseph
Commissioner
Colorado Division of Securities
Denver, CO
Richard Ketchum
Chairman and CEO
FINRA
Washington, DC
Robert Khuzami
Director, Division of Enforcement
Securities and Exchange Commission
Washington, DC
Cathy Krendl
Krendl Krendl Sachnoff & Way, P.C.
Denver, CO
Julius Leiman-Carbia
Associate Director
National Broker-Dealer Examination Program
Office of Compliance Inspections and Examinations
Securities and Exchange Commission
Washington, DC
Julie Lutz
Securities and Exchange Commission
Denver, CO
John Olson
Gibson, Dunn & Crutcher, LLP
Washington, DC
Commissioner Troy Paredes
Securities and Exchange Commission
Washington, DC
Shelley Parratt
Deputy Director, Division of Corporation Finance
Securities and Exchange Commission
Washington, DC
Daniel Shea
Hogan Lovells US LLP
Denver, CO
Holly Sollod
Holland & Hart LLP
Denver, CO
Stanley Sporkin
U.S. District Court Judge (retired)
Former Director, SEC Enforcement Division
Washington, DC
John Tanner
Fairfield and Woods PC
Denver, CO
John Walsh
US Attorney
District of Colorado
Robert Walter
Robert W. Walter, P.C.
Greenwood Village, CO
Jean Woodford
First Assistant Attorney General
Securities and Financial Fraud
Office of the Attorney General
Denver, CO
David Zisser
Davis Graham & Stubbs LLP
Denver, CO
Video Replays: June 15, 2011
Denver: CLE Classroom, 1900 Grant Street, Suite 300
Grand Junction: 1250 East Sherwood Drive
Colorado Springs: 421 South Tejon Street, Suite 100
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 |
- General Credits: 9.00
- Ethics Credits: 1.50
- EDI Credits:
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