Inside the SEC: Examination and Enforcement Priorities for 2026 - In Person
For the first time in three years, CBA-CLE and the CBA Business Law Section will host key SEC leaders in Denver for two hours of direct guidance on the Commission's current priorities in examinations and enforcement. This is a rare chance to hear firsthand how regulators are thinking, and to walk away with practical insight you can put to work for your clients right away.
IN-PERSON ATTENDANCE HAS ITS PERKS
Continuing Legal Education in Colorado, Inc. (CBA-CLE) values you and your participation in the Colorado legal community. The pandemic taught us that community building comes more naturally in person than it ever could via Zoom. Attending CBA-CLE events in person is a great way to network and meet new colleagues.
To encourage community building through in-person attendance, CBA-CLE will be holding a drawing at every live program held in the CLE Classroom, available only to in-person attendees. The winner will receive a CLE Elite Pass for 1 year (a value of $1,295 for members/$1,695 for non-members) simply by attending live.
CLE CREDITS: This program has been submitted for 2 General CLE Credits.
The program is accredited in Colorado. CBA-CLE staff can provide a Uniform Certificate of Attendance, and it is the attendee's responsibility to complete the accreditation outside of Colorado.
Home studies will be available 2-3 weeks following the live program.
CBA-CLE is committed to providing access, equal opportunity, and reasonable accommodation in its services, programs, and employment. To request an accommodation please contact [email protected] at least 14 business days in advance.
9:30 am
Registration and Coffee
10:00 – 10:05 am
Welcome Remarks
Presented by Kurt L. Gottschall, Esq., Haynes and Boone, LLP
10:05-11:05 am
Examinations Priorities Panel
Presented by Vanessa Horton, National Associate Director of the SEC’s Investment Adviser and Investment Company Program, and Michael Rufino, Esq., National Associate Director of the SEC’s Broker-Dealer and Exchange Program. Moderated by Tom Piccone, Esq., Associate Regional Director- Examinations, SEC Denver Regional Office.
11:05-11:20 am
Morning Break
11:20 am - 12:20 pm
Enforcement Priorities
Presented by Kate Zoladz, Esq., Deputy Director of the SEC’s Division of Enforcement (West). Moderated by Nic Heinke, Esq., Associate Regional Director- Enforcement, SEC Denver Regional Office
12:20 pm
Adjourn
Registration Fees
| Non Member | $149.00 |
| CBA Member | $109.00 |
| CBA Business Law Section Member | $89.00 |
| LLP/Paralegal/Legal Support Staff | $54.00 |
| Public Service/Government/Non-Profit/Military | $54.00 |
| Student Currently Enrolled in Law School | $0.00 |
| CLE ELITE Pass Holder | $0.00 |
- General Credits: 2.00
- Ethics Credits:
- EDI Credits:
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