46th Annual Rocky Mountain Securities Conference
May 2014
46th Annual Rocky Mountain Securities Conference
Co-sponsored by the 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:
- Current Enforcement Trends and Priorities
- The Defense Perspective
- General Counsel Roundtable
- Ethical Issues in Litigation
- Regulated Entities - Perspectives from the Regulators and the Industry
- Corporation Finance Update
- Corporate Governance - Current Issues Confronting Boards of Directors
- Ethical Issues in SEC Investigations and Litigation
- Flash Courses:
Insider Trading
Complex Financial Instruments
Crowdfunding and Other JOBS Act Rules Update
The 46th 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 Grand Hyatt Denver, 1750 Welton Street, Denver, CO 80202
CLE has reserved a small block of rooms for guests of the Conference at the Grand Hyatt Denver. Room rates start at $179 plus applicable taxes.
Please go to https://aws.passkey.com/event/10849300/owner/3134/home in order to make your reservation. Please make your reservation by April 7, 2014. Rooms will be released after this date.
Cancellation Policy:
CANCELLATIONS: If you are unable to attend, please notify CBA-CLE by May 5, 2014 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 5 will be refunded less a $50 cancellation fee.
Agenda:
7:00 - 7:50 am
Registration
7:50 - 8:00 am
Welcoming Remarks
Julie K. Lutz, Program Chair, Regional Director, Denver Regional Office, SEC
Gary Abrams, Executive Director, Colorado Bar Association CLE
8:00 -8:30 am
Keynote Address
Honorable Daniel M. Gallagher, SEC Commissioner
8:30- 9:20 am
Current Enforcement Trends and Priorities
In the past year, SEC Chair White has unveiled her plan to deploy the full enforcement arsenal, while the DOJ and state securities regulators have pursued robust enforcement initiatives. This panel will provide the regulators' view of current enforcement trends and include:
- Legal and policy developments
- Litigation developments
- Financial reporting and audit matters
- Enforcement priorities - civil, criminal and regulatory
Moderator:
Julie K. Lutz, Regional Director, Denver Regional Office, SEC
Panelists:
Joseph Brenner, Chief Counsel, Division of Enforcement, SEC
John Walsh, United States Attorney District of Colorado
Gerald Rome, Acting Commissioner Colorado Division of Securities
9:20 - 9:40 am
Flash Course - Insider Trading
New developments and enforcement techniques for insider trading matters, including:
- Proactive detection of insider trading
- Trader-based versus issuer-based approach
- Uncovering connections between tippers and traders
Randall J. Fons, Partner, Morrison Foerster
Jay Scoggins, Assistant Director, Market Abuse Unit, SEC
9:45 - 9:55 am
Networking Break
9:55 - 10:45
The Defense Perspective
- Are settlements more difficult and trials becoming more prevalent?
Change in the SEC's no admit/no deny policy - greater demand for admissions
Increased reliance on administrative proceedings vs. injunctive actions
- Cooperation agreements
- Partnerships as securities
- Corporate penalties
- Renewed enforcement focus on financial reporting
Moderator:
Donald M. Hoerl, Consultant and Former Director, SEC Denver Regional Office
Panelists:
Joan McKown, Partner, Jones Day
Randall J. Fons, Partner, Morrison Foerster
Monica K. Loseman, Partner, Gibson, Dunn and Crutcher LLP
Andrew Shoemaker, Partner, Shoemaker Ghiselli + Schwartz
10:45 - 11:35 am
General Counsel Roundtable
Current issues confronting Public Company General Counsels, including:
- Dealing with Whistleblowers
- Overseeing an effective compliance program
- Preparing for and dealing with derivative litigation
Moderator:
Daniel F. Shea, Of Counsel, Hogan Lovells
Panelists:
Daniel L. Jablonsky, Sr. Vice President and General Counsel DigitalGlobe, Inc.
Margaret McLean, Sr. Vice President and General Counsel Teletech Holdings, Inc.
Kim Rivera, Chief Legal Officer and Corporate Secretary, DaVita Healthcare Partners, Inc.
11:35 am - 11:55 am
Flash Course - Complex Financial Instruments
Exam and enforcement perspectives on complex financial instruments, including:
- What are "complex financial instruments" and why you should care
- Who structures these securities and why do investors buy them
- How does the SEC police sales of complex instruments
Kevin Goodman, National Associate Director, Broker-Dealer Examination Program in the SEC's Office of Compliance Inspections and Examinations (OCIE)
Laura Metcalfe, Assistant Director, Complex Financial Instruments Unit, SEC
11:55 - 1:10 pm
Luncheon and Speaker - Ethics or Ethos - Professing the Rule of Law
Hon. Marcia Krieger, Chief United States District Judge, District of Colorado
1:10 - 2:00 pm
Regulated Entities
Perspectives from the regulators and the industry, including:
- Emerging risks
- Current examination focus areas
- New registrant types
Moderator:
Kevin Goodman, National Associate Director, Broker-Dealer Examination Program in the SEC's Office of Compliance Inspections and Examinations (OCIE)
Panelists:
Andrew Bowden, Director, SEC's Office of Compliance Inspections and Examinations
Daniel M. Sibears, Executive Vice President, FINRA
David Kowalski, Sr. VP, Chief Compliance Officer, Janus Capital Group, Inc.
2:00 - 2:50 pm
Corporation Finance Update
Join the Deputy Director of the SEC's Division of Corporation Finance and prominent counsel for a discussion of new rules and other current issues, including:
- General solicitation and general advertising in Rule 506
- Proposed Amendments to Regulation D, Form D, & Rule 156
- SEC Investment Advisory Committee
- The new Regulation A proposal
- Pay ratio disclosure
Moderator:
Reid A. Godbolt, President and Shareholder, Jones & Keller, P.C.
Panelists:
Shelley Parratt, Deputy Director, Division of Corporation Finance, SEC
Jason Day, Partner, Perkins Coie LLP
2:50 - 3:10 pm
Flash Course - Crowdfunding and Other JOBS Act Rules Update
- FINRA's examination role for crowdfunding portals
- Filings with FINRA and the SEC under new provisions
- SEC's current enforcement approach to the JOBS Act
Gerald Dougherty, Deputy Director, Denver Office, FINRA
Mary Brady, Assistant Regional Director, SEC
3:10 -3:25 pm
Networking Break
3:25 - 4:15 pm
Corporate Governance - Current Issues Confronting Boards of Directors
- Executive compensation and succession issues: Pay ratio disclosure, compensation standards, and claw backs
- Today's activists: Their objectives and tactics; how to respond
- Board oversight of risk: Understanding the full risk map, including IT and reputational risk
- Audit Committees, internal controls and the PCAOB: New focus on audit committees, what they need to know, and what they should be doing to oversee auditors
- Board responsibilities in M&A transactions
Moderator:
George Curtis, Partner, Gibson, Dunn & Crutcher LLP
Panelists:
James R. Doty, Chairman, Public Company Accounting Oversight Board
John F. Olson, Partner, Gibson, Dunn & Crutcher LLP
Elizabeth Karpinski Vonne, Partner, Davis, Graham & Stubbs LLP
4:15 - 5:05 pm
Ethical Issues in SEC Investigations and Litigation
- Representation of multiple parties and contact with represented individuals
- Internal investigations
- Waiver of attorney client privilege and use of F.R.Civ.P. 502(d) orders
- Recent developments in discipline of attorneys appearing and practicing before the Commission
Moderator:
Thomas J. Krysa, Regional Trial Counsel, SEC
Panelists:
Holly Stein Sollod, Partner, Holland & Hart LLP
David Zisser, Of Counsel, Davis, Graham & Stubbs LLP
5:05 pm
Adjourn
Registration Fees
| Non Member | $399.00 |
| CBA Member | $349.00 |
| Colorado CPA Society Member | $349.00 |
| CBA Business Law Section Member | $319.00 |
| Government Employee | $319.00 |
| New Lawyer (in practice 3 years or less) | $299.00 |
| New Lawyer - CBA Business Law Section Member | $199.00 |
| CLEACCESSPASS--ELITE Pass Holder | $175.00 |
- General Credits: 10.00
- Ethics Credits: 2.00
- EDI Credits:
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