48th Annual Rocky Mountain Securities Conference
May 2016
48th Annual Rocky Mountain Securities Conference
Co-sponsored by the U.S. Securities and Exchange Commission and the Business Law Section of the Colorado Bar Association
Program Highlights:
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 Update: Priorities, Legal Issues, and Recent Significant Cases
- Defense Perspective
- Corporation Finance: Analysis of Recent Rulemakings, Policies and Issues
- Flash Course - Municipal Securities: Current Regulatory and Enforcement Initiatives
- General Counsel Roundtable and Corporate Governance Update
- Ethics in the Securities Industry – A Conversation
- Regulated Entities: Developments and Hot Topics
- Flash Course - Update on Dodd Frank Matters
- Cybersecurity: Multiple Perspectives on a Critical Current Issue
- Ethics - Defense and SEC Perspectives
The 48th 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.
Program Description:
You would have to travel to Washington DC or New York paying thousands of dollars to find a conference that offers as much as this for a fraction of the cost. 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!
Lodging Information:
The Conference is being held at the Denver Marriott City Center, 1701 California Street, Denver, CO 80202
Cancellation Policy:
CANCELLATIONS: If you are unable to attend, please notify Colorado CLE by May 2, 2016 and we will gladly refund your tuition in full, transfer your tuition to the homestudy, or you may send someone in your place. Cancellations after May 2 will be refunded less a $100 cancellation fee.
Agenda:
7:00 am
Registration
7:50am
Welcoming Remarks
Julie K. Lutz, Program Chair, Regional Director, SEC Denver
Gary Abrams, Executive Director, Colorado CLE
8:00 - 8:30am
Keynote address: Hon. Kara M. Stein, SEC Commissioner
8:30 - 9:15am
Enforcement Update
Join our panel of SEC experts for an insightful analysis of current national and regional enforcement priorities, significant legal issues, and recent notable cases.
Stephanie Avakian, Deputy Director, Division of Enforcement, SEC
Joseph K. Brenner, Chief Counsel, Division of Enforcement, SEC
Moderator: James Scoggins, Assistant Regional Director, Division of Enforcement, SEC Denver
9:20 - 10:05am
Defense Perspective
Daniel F. Shea, Of Counsel, Hogan Lovells, and former Regional Director, SEC Denver
Merri Jo Gillette, Partner, Morgan Lewis and Bockius LLP, and former Regional Director, SEC Chicago
David Woodcock, Partner, Jones Day, and former Regional Director, SEC Fort Worth
Moderator: Marc Fagel, Partner, Gibson, Dunn & Crutcher LLP, and former Regional Director, SEC San Francisco
10:05 - 10:15am
Networking Break
10:15 - 11:00am
Corporation Finance: Analysis of Recent Rulemakings, Policies and Issues
Keith Higgins, Director, Division of Corporation Finance, SEC
Richard N. Baer, Senior Vice President and General Counsel, Liberty Interactive Corporation
Moderator: S. Lee Terry, Partner, Davis, Graham & Stubbs LLP
11:05 - 11:35am
Flash Course - Municipal Securities: Current Regulatory and Enforcement Initiatives
LeeAnn Gaunt, Chief, Municipal Securities and Public Pensions Unit, Division of Enforcement, SEC
Denise Saxon, Assistant Regional Director, Office of Compliance Inspections and Examinations, SEC Denver
11:40am - 12:25pm
General Counsel Roundtable and Corporate Governance Update
Daniel L. Jablonsky, Senior Vice President and General Counsel, DigitalGlobe, Inc.
Margaret McLean, Senior Vice President and General Counsel, Teletech Holdings Inc.
Moderator: John V. McDermott, Shareholder, Brownstein Hyatt Farber Schreck
12:25 -1:40pm
Luncheon and Speaker: Ethics in the Securities Industry - A Conversation
Hon. Daniel M. Gallagher, President, Patomak Global Partners, Washington DC, and former Commissioner, SEC
(1 Ethics Credit)
Moderator: George Curtis, Gibson Dunn & Crutcher, former Regional Director, SEC Denver, and former Deputy Director, Division of Enforcement, SEC
1:45 - 2:30pm
Regulated Entities: Developments and Hot Topics
Marc Wyatt, Director, Office of Compliance Inspections and Examinations, SEC
David Bergers, General Counsel, LPL Financial Holdings Inc., Managing Director, Legal and Government Relations, LPL Financial, and former Regional Director, SEC Boston
Steven W. Stone, Partner, Morgan Lewis and Bockius LLP
Moderator: Thomas M. Piccone, Associate Regional Director, Office of Compliance Inspections and Examinations, SEC Denver
2:35 - 3:35pm
Cybersecurity: Multiple Perspectives on a Critical Current Issue
David Kelley, Surveillance Director, FINRA
Joseph Sansone, Co-Chief, Market Abuse Unit, Division of Enforcement, SEC
Kevin Witt, Senior Vice President, Technology, National Financial Partners, Austin
Moderator: David Glockner, Regional Director, SEC Chicago, and member, SEC Cybersecurity Committee
3:35 - 3:50pm
Networking Break
3:55 - 4:25pm
Flash Course - Update on Dodd Frank Matters
Reid A. Godbolt, Shareholder, Jones & Keller, PC
Professor Jay Brown, Professor of Law, University of Denver Sturm College of Law
4:30 - 5:20pm
Ethics - Defense and SEC Perspectives
(1 Ethics Credit)
Matt Kirsch, Criminal Division Chief, U.S. Attorney's Office, District of Colorado
Andrew Shoemaker, Partner, Shoemaker Ghiselli + Schwartz, LLC
Patricia Weiss, Professional Responsibility Counsel, Office of the General Counsel, SEC
Moderator: Gregory A. Kasper, Supervisory Trial Counsel, SEC Denver
5:00pm
Adjourn
Location Information
Denver Marriott City Center
1701 California Street
Denver, CO 80202
Get directions
1701 California Street
Denver, CO 80202
Registration Fees
| Non Member | $409.00 |
| CBA Member | $369.00 |
| Colorado CPA Society Member | $369.00 |
| CBA Business Law Section Member | $329.00 |
| Government Employee | $329.00 |
| New Lawyer - CBA Business Law Section Member | $249.00 |
| CLE ELITE Pass Holder | $189.00 |
- General Credits: 9.00
- Ethics Credits: 2.00
- EDI Credits:
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