45th Annual Rocky Mountain Securities Conference
May 2013
45th Annual Rocky Mountain Securities Conference
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
- The Defense Perspective
- Regulated Entities
- Current Issues in Corporation Governance
- Accounting and Auditing Standards and Regulations
- Current Issues in Corporation Finance
- Emerging Growth Company Financing, Reg D General Solicitation and Crowd Funding
- Ethics
The 45th 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!
Agenda:
7:00 am
Registration
7:50 am
Welcoming Remarks
- Donald Hoerl, Program Chair, Regional Director, Denver Regional Office, Securities and Exchange Commission
- Gary Abrams, Executive Director, Colorado Bar Association CLE
8:00 am
SEC Enforcement Panel
- John Walsh, US Attorney, District of Colorado
- George Canellos, Acting Director, Division of Enforcement, Securities and Exchange Commission
- Julie Lutz, Securities and Exchange Commission
Moderated by Donald Hoerl, Regional Director, Denver Regional Office, Securities and Exchange Commission
8:55 am
Defense Perspective
Panelists:
- Daniel F. Shea, Hogan Lovells LLP, Former Regional Director, Securities and Exchange Commission
- Andrew Shoemaker, Shoemaker Ghiselli & Schwartz, LLC
- Linda Thomsen, Davis Polk & Wardell LLP
Moderated by George Curtis, Gibson, Dunn & Crutcher, LLP, Former Regional Director Securities and Exchange Commission
9:50 am
Networking Break
10:05 am
Regulated Entities Panel Presentation
Panelists:
- Carlo di Florio, Director, Office of Compliance Inspections and Examinations, Securities and Exchange Commission
- Katherine Addleman, Haynes and Boone LLP
- Mary E. Keefe, Managing Director, Director of Compliance, Nuveen Investments, Inc.
Moderated by Kevin Goodman, Associate Regional Director - Regulation, Securities and Exchange Commission
11:00 am
Current Issues in Corporation Governance
Panelists:
- John Olson, Gibson, Dunn & Crutcher, LLP
- Annita Menogan, Senior Vice President, Red Robin Gourmet Burgers Inc
Moderated by Cathy Krendl, Krendl Krendl Sachnoff & Way
11:55 am
Lunch Presentation (12:20 - 1:10)
Commissioner Daniel Gallagher, Securities and Exchange Commission
1:15 pm
Does Good Audit Make for Good Corporate Governance?
Panelists:
- James Doty, Public Company Accounting Oversight Board
- Richard Breeden, Founder & Chairman, Breeden Capital Management LLC; Former Chairman, Securities and Exchange Commission
- Charles Senatore, Head of Compliance and Ethics, Fidelity Investments
Moderated by Donald Hoerl, Regional Director, Denver Regional Office, Securities and Exchange Commission
2:10 pm
Current Issues in Corporation Finance
Panelists:
- Shelley Parratt, Deputy Director, Division of Corporation Finance, Securities and Exchange Commission
- Brian Breheny, Skadden, Arps, Slate, Meagher & Flom LLP
- Jeffrey Kesselman, Sherman & Howard LLC
Moderated by John Olson, Gibson, Dunn & Crutcher, LLP
3:05 pm
Networking Break
3:20 pm
Ethical Issues in Securities Practice
- Holly Sollod, Holland & Hart LLP
- John McDermott, Brownstein Hyatt Farber Schreck LLP
- Kelley Howes, Morrison & Foerster LLP
Moderated by Randall Fons, Morrison & Foerster LLP, Former Regional Director, Securities and Exchange Commission
4:15 pm
JOBS Act - Emerging Growth Company Financing, Reg D General Solicitation and Crowd Funding
Panelists:
- Shelley Parratt, Deputy Director, Division of Corporation Finance, Securities and Exchange Commission
- Professor Jay Brown, Professor of Law, University of Denver, Sturm College of Law
Moderated by Reid Godbolt, Jones & Keller, PC
5:05 pm
Adjourn
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, PC
Of Counsel
Former Regional Director
Securities and Exchange Commission
Denver, CO
Randall Fons
Morrison & Foerster LLP
Former Regional Director
Securities and Exchange Commission
Denver, CO
Reid Godbolt
Jones & Keller, PC
Denver, CO
Dan Shea
Hogan Lovells LLP
Denver, CO
FACULTY:
Katherine Addleman
Haynes and Boone LLP
Dallas, TX
Richard Breeden
Founder & Chairman
Breeden Capital Management LLC
Former Chairman
Securities and Exchange Commission
Greenwich, CT
Brian Breheny
Skadden, Arps, Slate, Meagher & Flom LLP
Washington, DC
Professor Jay Brown
Professor of Law
University of Denver Sturm College of Law
Denver, CO
George Canellos
Acting Director
Division of Enforcement
Securities and Exchange Commission
New York, NY
Carlo di Florio
Director
Office of Compliance Inspections and Examinations
Securities and Exchange Commission
Washington, DC
James Doty
PCAOB
Washington, DC
Commissioner Daniel Gallagher
Securities and Exchange Commission
Washington, DC
Kevin Goodman
Associate Regional Director - Regulation
Securities and Exchange Commission
Denver, CO
Kelley Howes
Morrison & Foerster LLP
Denver, CO
Mary E. Keefe
Managing Director
Director of Compliance
Nuveen Investments, Inc.
Chicago, IL
Jeffrey Kesselman
Sherman & Howard LLC
Denver, CO
Cathy Krendl
Krendl Krendl Sachnoff & Way
Denver, CO
Julie Lutz
Securities and Exchange Commission
Denver, CO
John McDermott
Brownstein Hyatt Farber Schreck LLP
Denver, CO
Annita Menogan
Senior Vice President
Red Robin Gourmet Burgers Inc
Denver, CO
John Olson
Gibson, Dunn & Crutcher, LLP
Denver, CO
Shelley Parratt
Deputy Director
Division of Corporation Finance
Securities and Exchange Commission
Washington, DC
Charles Senatore
Head of Compliance and Ethics
Fidelity Investments
Boston, MA
Andrew Shoemaker
Shoemaker Ghiselli & Schwartz, LLC
Boulder, CO
Holly Sollod
Holland & Hart LLP
Denver, CO
Linda Thomsen
Davis Polk & Wardell LLP
Washington DC / New York
John Walsh
US Attorney
District of Colorado
Denver, CO
Lodging Information:
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 $209 plus applicable taxes. Please call 1-800-228-9290 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 44th Annual Rocky Mountain Securities Conference. Please make your reservation by April 18, 2013. Rooms will be released after this date.
Cancellation Policy:
CANCELLATIONS: If you are unable to attend, please notify CBA-CLE by May 3, 2013 and we will gladly refund your tuition in full or transfer your tuition to the homestudy. Cancellations after May 3 will be refunded less a $50 cancellation fee.
Location Information
Denver Marriott City Center
1701 California Street
Denver, CO 80202
Get directions
1701 California Street
Denver, CO 80202
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 | $179.00 |
- General Credits: 10.00
- Ethics Credits: 1.00
- EDI Credits:
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