52nd Rocky Mountain Securities Conference
SOLD OUT!
The Rocky Mountain Region's premier securities conference is back, bringing current and former top level SEC officials from New York and Washington, DC to Denver. A host of SEC directors will be joined by local experts to discuss the latest developments in securities law and SEC initiatives and priorities. Don’t miss this opportunity to mingle with some of the brightest minds and leading figures in securities law.
The Rocky Mountain Region's premier securities conference is back, bringing current and former top level SEC officials from New York and Washington, DC to Denver. A host of SEC directors will be joined by local experts to discuss the latest developments in securities law and SEC initiatives and priorities. Don’t miss this opportunity to mingle with some of the brightest minds and leading figures in securities law.
- National, top-caliber faculty at your doorstep
- Keynote address from SEC Commissioner Caroline Crenshaw
- Breakout sessions, including the latest on crypto currency and digital assets
Home studies will be available approximately 2-3 weeks following the live program.
For your own safety, the safety of others, and in an effort to provide everyone with the most rewarding in-person meeting and event experiences possible, we request that you attend a CBA, DBA, or CLE meeting or event only if you have been fully vaccinated. Mask wearing is up to personal preference and comfort level. Masks may be required in some clinic settings. Please be cognizant and understanding of others’ preferences and courteous to all attendees.
Depending on CDC and/or state or local health guidelines, a rise in COVID-19 cases, or other circumstances that may threaten the well-being of our attendees, CBA-CLE reserves the right to convert to a fully virtual event.
If disability accommodations or special assistance are needed, please contact us at [email protected]. Requests must be made at least two weeks prior to the scheduled program.
The program will be submitted for CLE accreditation in Colorado. If you need to seek accreditation in another state, please review the process and requirements for that individual state. CBA-CLE staff can provide a Uniform Certificate of Attendance, and it is the attendee’s responsibility to complete the accreditation outside of Colorado.
Submitted for 8 General CLE Credits, Including 1 Ethics/Professionalism Credit
Recommended for 7.5 Hours of CPE Credit Update Level, Including 1 Regulatory Ethics CPE Credit. (Please Note: CPE Credit is less than anticipated CLE Credit)
7:30 – 8:15am
Registration
8:15 – 8:25 am
Welcoming Remarks
Presented by Jason J. Burt, Esq., Director, SEC Denver Regional Office; Brian Hoffman, Esq., Holland and Hart, LLP; and Kelley Howes, Esq., Morrison & Foerster LLP
8:25 – 9:00 am
Keynote: Fireside Chat with SEC Commissioner Caroline Crenshaw
Discover current SEC legal and policy priorities.
Presented by Caroline A. Crenshaw, Esq., Commissioner, U.S. Securities and Exchange Commission
(Specialized Knowledge CPE Field of Study Credit .5)
9:00 – 9:50 am
SEC Enforcement Panel
Learn current initiatives, developments, changes, and priorities of the SEC Enforcement Division; understand the principles guiding the Division’s decision making regarding enforcement matters; and prepare to assist a client in navigating the enforcement process.
Presented by Olivia Choe, Esq., SEC Division of Enforcement Chief Litigation Counsel; Gurbir Grewal, Esq., SEC Director of Division of Enforcement; Sanjay Wadhwa, Esq., SEC Deputy Director of Division of Enforcement; Sam Waldon, Esq., SEC Division of Enforcement Chief Counsel.
Moderated by: Nic Heinke, Esq., SEC Associate Regional Director, Division of Enforcement.
(Specialized Knowledge CPE Filed of Study Credit 1.0)
9:50 – 10:00 am
Networking Break
10:00 – 10:50 am
Regulated Entities
An invaluable session during which the top leadership of the SEC’s national examination program will discuss selected industry and regulatory developments, as well as current examination priorities. Hear key information and perspectives on issues affecting investment advisers, investment companies, broker-dealers, and private funds.
Presented by Rich Best, Esq., SEC Director of Division of Exams; Kieth Cassidy, Esq., Co-Deputy Director, Division of Examinations, Associate Director, Office of Technology Controls Program, SEC; and Natasha Vij Greiner, Esq. Co-Deputy Director, Division of Exams; Co-National Associate Director, Investment Adviser and Investment Company Examination Program, SEC
Moderated by Tom Piccone, Esq., SEC Denver Regional Office Division of Exams Associate Director.
(Specialized Knowledge CPE Filed of Study Credit 1.0)
11:00 – 11:50 am
Corporation Finance
Hear from the division responsible for ensuring investors get information necessary to make informed investment decision making, maintaining orderly and efficient markets, and facilitating capital formation.
Presented by Anita Bandy, Esq., Skadden, Arps, Slate, Meagher & Flom LLP; Erik Gerding, Esq., Deputy Director, Legal and Regulatory Policy, SEC Division of Corporate Finance; Hon. Allison Herren Lee, NYU Law and Institute for Corporate Governance and Finance. Moderated by Stacey Bowers. Esq., University of Denver Sturm College of Law.
(Specialized Knowledge CPE Filed of Study Credit 1.0)
11:50 am – 1:20 pm
Luncheon and Presentations (Lunch Included)
(Lunch service from 11:50 - 12:40pm)
(CBA, DBA, and CBA-CLE Leadership Remarks from 12:20 - 12:30pm)
(Presentation from 12:30 - 1:20pm)
12:30 – 1:20 pm
Whistleblower Program Update
The SEC’s whistleblower program has had a transformative impact on SEC Enforcement actions since its inception. Hear from the Chief of the SEC’s Office of the Whistleblower about the practical effect of whistleblower tips in SEC enforcement actions, recent rulemaking, the scope and magnitude of current whistleblower awards, and ethical issues that arise when companies impede or retaliate against whistleblower communications with regulators.
Presented by Nicole Creola (Cree) Kelly, Esq., SEC Director of the Office of the Whistleblower.
(Business Law CPE Field of Study Credit 1.0)
1:30 – 2:20 pm
Securities and White-Collar Defense
Learn how top securities and regulatory investigations practitioners handle criminal defense and enforcement-related litigation for corporations and senior executives.
Presented by Robert Cohen, Esq., Davis Polk & Wardwell, LLP; and Cliff Stricklin, Esq., King & Spalding LLP.
Moderated by Joseph K. Brenner, Esq., Wilmer Cutler Pickering Hale and Dorr LLP
(Specialized Knowledge CPE Filed of Study Credit 1.0)
2:20 – 2:30 pm
Networking Break and Transition to Breakout Sessions
2:30 - 3:20 pm
Breakout Sessions
1. Hot Topics in Disclosure, Accounting and Audit Issues for Public Companies
The latest updates for practitioners on reporting, accounting, and auditing standards, disclosures, and more.
Presented by Kurt L. Gottschall, Esq., Haynes and Boone, LLP; Matt Jacques, CPA, CFE, Managing Director, AlixPartners LLP, and Ryan Wolfe, CPA, CFA, Chief Accountant, SEC Division of Enforcement. Moderated by Mary Brady, Esq.
SEC Assistant Regional Director.
(Accounting .5 and Auditing .5 CPE Field of Study Credits)
2. Developments in Crypto Assets& Cyber Enforcement
Discuss the SEC’s priorities and concerns in the crypto and digital asset industry.
Presented by David Hirsch, Esq., Chief, SEC Division of Enforcement, Crypto Asset and Cyber Unit; and Aliceson (Kristy) Littman, Esq., Wilkie Farr & Gallagher, LLP; and Carolyn M. Welshhans, Esq., Associate Director, SEC Division of Enforcement. Moderated by Danielle Voorhees, Esq., Assistant Regional Director, SEC Division of Enforcement.
(Business Law or Specialized Knowledge CPE Field of Study Credit 1.0)
3:20 – 3:30 pm
Networking Break
3:30 - 4:20 pm
Ethics Panel
Your seasoned panelists with law enforcement and private firm expertise will guide you through ethical dilemmas often encountered in securities litigation, transactional work, and enforcement proceedings during this entertaining, interactive session.
Presented by Julie Herzog, Esq., Fortis Law Partners, LLC; Brian Hoffman, Esq., Holland & Hart, LLP; and Matt Kirsch, Esq., First Assistant United States Attorney for the District of Colorado.
Moderated by Greg Kasper, Esq., Regional Trial Counsel, SEC Division of Enforcement
Submitted for 1 Ethics/Professionalism Credit.
(Regulatory Ethics CPE Field of Study Credit 1.0)
4:20 pm
Adjourn to Reception
Registration Fees
| Non Member | $635.00 |
| CBA Member | $479.00 |
| CBA Business Law Section Member | $384.00 |
| Colorado CPA Society Member | $383.00 |
| CBA Securities Subsection Member | $383.00 |
| Active Military | $239.50 |
| New Lawyer Edge Partner | $239.50 |
| CLE ELITE Pass Holder | $125.00 |
- General Credits: 8.00
- Ethics Credits: 1.00
- EDI Credits:
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