44th Annual Rocky Mountain Securities Conference Out of Stock
Co-sponsored by the Securities and Exchange Commission and the Business Law Section of the Colorado
Quantity
April 2012
44th Annual Rocky Mountain Securities Conference
Program Description:
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 Views
- The Perspective from the Defense
- Corporate Finance
- Small Cap Finance
- Ethics
- Corporate Governance
The 44th Annual Rocky Mountain Securities Conference provides a lineup of respected presenters who are well known throughout the securities profession and whose observations have earned the respect and attention of the investment community.
You would have to travel to Washington DC or New York and pay thousands of dollars to find a conference that offers as much as RMSC offers for a fraction of the cost. Reserve your place and be part of this very special event right here in Denver!
Topics:
Keynote Speaker: Commissioner Daniel Gallagher, Securities and Exchange Commission
Introduction by George Curtis, Partner, Gibson, Dunn & Crutcher, LLP
Enforcement Views
Panelists:
- Carlo diFLorio, Director, Office of Compliance Inspections and Examinations, Securities and Exchange Commission
- Robert Khuzami, Director, Division of Enforcement, Securities and Exchange Commission
- John Walsh, US Attorney, District of Colorado
Moderated by:
Donald Hoerl, Regional Director, Denver Regional Office, Securities and Exchange Commission
The Perspective from the Defense
Panelists:
- Randall Fons, Partner, Morrison Foerster
- Joan McKown, Partner, Jones Day
- Holly Sollod, Partner, Holland & Hart LLP
- David Zisser, Of Counsel, Davis Graham & Stubbs LLP
Moderated by:
Dan Shea, Partner, Hogan Lovells
Corporate Finance
Panelists:
- Jason Day, Partner, Perkins Coie
- John Olson, Partner, Gibson, Dunn & Crutcher, LLP
- Shelly Parratt, Deputy Director, Div. of Corp. Finance, Securities and Exchange Commission
- Jeffrey Sherman, Special Counsel, Faegre Baker Daniels
Lunch Presentation: What Securities Lawyers Need to Know About the Brave New World of Global Auditing (And Why It Is Changing Main Street)
James Doty, Chairman, Public Company Accounting Oversight Board (PCAOB)
Ethics
- Margaret McLean, Chief Ethics and Compliance Officer, CH2M Hill
- John Olson, Partner, Gibson, Dunn & Crutcher, LLP
- Linda Thomsen, Partner, Davis Polk
Moderated by:
George Curtis, Gibson, Dunn & Crutcher, LLP; Former Deputy Enforcement Director, Securities and Exchange Commission
Corporate Governance
Presented by:
- Richard Mattera, Senior Deputy General Counsel, UnitedHealth Group
- Josiah Hatch, Partner, Ducker, Montgomery, Lewis & Bess, P.C.
- Cathy Krendl, Partner, Krendl, Krendl, Sachnoff & Way, P.C.
- John Olson, Partner, Gibson, Dunn & Crutcher, LLP
Small Cap Finance
Panelists:
- Frank Birgfeld, The St. Croix Group LLC
- Daniel Jablonsky, Brownstein, Hyatt, Farber & Schreck LLP
- Gerald LaPorte, Securities and Exchange Commission
Moderated by:
Reid Godbolt, Jones & Keller
Regulated Entities
Panelists:
-Jacqueline Whelan , Financial Industry Regulatory Authority (FINRA)
-Andrew Bowden, Associate Director, Office of Compliance Inspections and Examinations, Securities and Exchange Commission
-Fred Joseph, Commissioner, Colorado Division of Securities
Moderated by:
Kevin Goodman, Associate Regional Director - Regulation, Securities and Exchange Commission
- CLE Pass Price *FREE! - exclusions may apply
- Standard Price $159.00 USD
- Member Price $129.00 USD
- General Credits
- Ethics Credits
- EDI Credits