52nd Annual Rocky Mountain Securities Conference

 
RESCHEDULED FROM MAY 13, 2020
 
 
October 2020
   
52nd Annual Rocky Mountain Securities Conference  
 
Co-sponsored by the U.S. Securities and Exchange Commission, the Business Law Section of the Colorado Bar Association and the Colorado Society of Certified Public Accountants
 
Highlights Include:
 
- Expert faculty, including SEC Commissioner Allison H. Lee and SEC senior staff, will provide insights, strategies, and effective solutions for challenging issues and emerging areas
 
- Top SEC officials, plus many national securities and corporate experts from around the nation whose observations have earned the respect and attention of the financial community
 
- Planned for attorneys, public company accountants and auditors, CEOs, CFOs, corporate directors, financial professionals, compliance officers, regulators, investigators, and others who interact with the U.S. Securities and Exchange Commission, AND is an invaluable opportunity for you to interact with all
 
 
Program Description:
 
The Rocky Mountain Region’s premiere securities conference features top SEC officials, and many of the nation’s leading securities and corporate experts whose observations have earned the respect and attention of the financial community.
 
Attend the 52nd Annual Rocky Mountain Securities Conference to:
 
- Hear the latest on current SEC initiatives and priorities  
 
- Receive practical pointers and best practices to help you better represent your clients
- Get insights, strategies and effective solutions for challenging issues and emerging areas from expert faculty, including SEC senior staff and national securities and corporate experts
- Connect with colleagues over lunch, at the reception and breaks, and in the sessions
 
If you are an attorney, public company accountant or auditor, CEO, CFO, corporate director, financial professional, compliance officer, regulator, investigator, or interact with the U.S. Securities and Exchange Commission, this conference is for you!
 
NEW! Pre-Conference Securities Fundamentals, October 22, 3:00-4:30pm, CBA-CLE Classroom, 1290 Broadway, Suite 1700, Denver, CO  
 
BACK BY POPULAR DEMAND! We Mean Business Reception Celebrating Women and Diversity in the Financial Industry, October 22, 2020, 4:30pm, CBA-CLE Classroom, 1290 Broadway, Suite 1700, Denver, CO    
 
 
Location:
 
The Conference is being held at the Grand Hyatt Hotel, 1750 Welton Street, Denver, CO 80202
 
 
Cancellation Policy:
  
If you are unable to attend, please notify CBA-CLE by October 15, 2020 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 5:00 pm on October 15, 2020 will be refunded less a $100 cancellation fee.
 
 
Upcoming Programs:
 
March 11 and 25, April 15 and 22, and May 7 and 20 Business Document Drafting Series 2020 - Webcast
 
September 10-11, 2020 Business Law Institute, The Ritz-Carlton, 1881 Curtis St., Denver, CO
 
Federal Practice Update, June 26, 2020, CBA-CLE Classroom, 1290 Broadway, Suite 1700, Denver, CO      

Agenda:
 
52nd Annual Rocky Mountain Securities Conference – October 23, 2020
Grand Hyatt, 1750 Welton, Denver, CO
 
7:45 AM
Registration and Continental Breakfast
 
8:15 AM
Welcoming Remarks
Kurt L. Gottschall, Program Chair, Regional Director, SEC Denver and Luke Ritchie, Chair, Securities Subsection, Colorado Bar Association, and Partner, Moye White LLP
 
8:25 – 9:00 AM
A Fireside Chat with SEC Commissioner Allison H. Lee
- Current SEC legal and policy priorities
Specialized Knowledge CPE Field of Study Credit 0.5
 
9:00 – 9:50 AM
SEC Enforcement
What are the current initiatives, developments, changes and priorities of the SEC's Enforecement Division? The presenters will discuss what you should know and do, and the principles guiding the Division’s decision-making as to enforcement matters.
Specialized Knowledge CPE Field of Study Credit 1.0
PANEL
Stephanie Avakian, Co-Director, Enforcement Division, SEC
Joseph K. Brenner, Chief Counsel, Enforcement Division, SEC
Bridget Fitzpatrick, Chief Litigation Counsel, Enforcement Division, SEC
MODERATOR: Jason J. Burt, Associate Regional Director, Enforcement Division, SEC Denver
 
9:50-10:00 AM
Networking Break
 
10:00 – 10:50 AM
Securities and White Collar Defense
An invaluable opportunity to gain the insights of securities and regulatory investigations practitioners. Hear how they handle criminal defense and enforcement-related litigation for well-known corporations and senior executives.
Specialized Knowledge CPE Field of Study Credit 1.0
PANEL
Linda Chatman Thomsen, Partner, Davis Polk & Wardwell LLP
Daniel M. Gallagher, Jr., Partner, WilmerHale, and former SEC Commissioner
Stephen M. Cutler, Partner, Simpson Thacher & Bartlett LLP
MODERATOR: Jina L. Choi, Partner, Morrison & Foerster LLP
 
10:50 – 11:00 AM
Networking Break
 
11:00 – 11:50 AM
Regulated Entities
Leaders from the SEC, the financial industry, and the securities bar will discuss issues impacting investment advisers, investment companies, broker-dealers and private funds.
Specialized Knowledge CPE Field of Study Credit 1.0
PANEL
Peter B. Driscoll, Director, Office of Compliance Inspections and Examinations, SEC
Merri Jo Gillette, Deputy General Counsel, Edward D. Jones & Co, L.P.
Robert E. Plaze, Partner, Proskauer Rose LLP
MODERATOR: Thomas M. Piccone, Associate Regional Director, Office of Compliance Inspections and Examinations, SEC Denver
 
11:50 AM– 12:00 PM
Networking Break
 
12:00 Noon – 1:20 PM
Luncheon and Presentation
(Lunch service from 12:00 noon – 12:30 pm; presentation from 12:30-1:20pm)
Greetings extended by Amy Larson, Executive Director/CEO, Colorado Bar Association
The Today and Tomorrow of Securities Regulation
LUNCHEON SPEAKER: Troy A. Paredes, Founder, Paredes Strategies LLC, and former SEC Commissioner (2008-2013)
Specialized Knowledge CPE Field of Study Credit 1.0
 
1:20 – 1:30 PM
Return to General Session Room/Post Lunch Break
 
1:30 – 2:20 PM
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.
PANEL:
William H. Hinman, Director, Division of Corporation Finance, SEC
Meredith Cross, WilmerHale, and former Director, Division of Corporation Finance, SEC
Moderator: Kurt L. Gottschall, Program Chair, Regional Director, SEC Denver
Specialized Knowledge CPE Field of Study Credit 1.0
 
2:20-2:30 PM
Networking Break and Transition to Breakout Sessions
 
2:30 – 3:20 PM
Breakout Session A
Hot Topics in Disclosure, Accounting and Audit Issues for Public Companies
A PCAOB member, the SEC Chief Accountant for the Enforcement Division, and a private firm audit partner provide you with the latest information and invaluable insights on reporting, accounting and auditing standards, disclosures and more.
Accounting .5 and Auditing .5 CPE Field of Study Credits
PANEL
J. Robert Brown, Jr., Board Member, Public Company Accounting Oversight Board (PCAOB)
Matthew S. Jacques, Chief Accountant, Enforcement Division, SEC
Erika M. Whitmore, Audit Partner, KPMG LLP
 
Breakout Session B
Regulation Best Interest
Hear insights about this important new regulation; and its impact on retail investors from the SEC experts who crafted the proposal and final rules
Specialized Knowledge CPE Field of Study Credit 1.0
PANEL
Geeta Dhingra, Special Counsel, Office of Chief Counsel, Division of Trading and Markets, SEC
John S. Polise, Associate Director, Office of Broker-Dealer and Exchanges (BDX) Group, Office of Compliance Inspection and Examinations, SEC
Jennifer H. Songer, Senior Counsel, Division of Investment Management, SEC
 
3:20-3:30 PM
Networking Break
 
3:30 – 4:20 PM
Got Ethics? Ethical Issues Securities Industry Professionals Often Encounter
1 Ethics CLE Credit
1 Regulatory Ethics CPE Credit  
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.
PANEL
Matthew T. Kirsch, First Assistant U.S. Attorney, U.S. Attorney's Office, District of Colorado
Julie Herzog, Partner, Fortis Law Partner LLC
Brian N. Hoffman, Partner, Holland & Hart LLP, Securities Subsection Vice-Chair, Colorado Bar Association
MODERATOR: Gregory A. Kasper, Regional Trial Counsel, Enforcement Division, SEC Denver
 
4:20 PM
Conclusion, Evaluations and Adjourn to Hosted Networking Social Hour    
Location Information
Grand Hyatt Denver Downtown
1750 Welton Street
Denver, CO 80202
Get directions
Registration Fees
Non Member $519.00
CBA Member $415.00
CBA Business Law Section Member $384.00
Colorado CPA Society Member $384.00
CLE ELITE Pass Holder $197.00
Government Employee/Law Enforcement $384.00
New Lawyer Edge Partner $207.50
CBA Securities Subsection Member $384.00
  • General Credits: 8.00
  • Ethics Credits: 1.00
Start Date - End Date
October 23, 2020
Start Time - End Time
8:15 AM - 4:20 PM
Event Location
Grand Hyatt Denver Downtown
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